urban disaster resilience_phd_psitko

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Urban Disaster Resilience: Learning from the 2011

Bangkok Flood

Pamela Sitko Department of Planning,

Joint Centre for Urban Design

January 2016 Submitted in partial fulfillment of the requirements

of the award of Doctor of Philosophy at Oxford Brookes University

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Abstract

Reducing disaster risk, managing rapid urbanisation and tackling poverty is an enormous challenge, particularly in vulnerable neighbourhoods in low and middle-income countries. By 2050, two-thirds of the world’s population will live in towns and cities, with 95 per cent of future urban expansion in the global South. At the same time, disasters are increasing in frequency, severity and intensity. Poorer people in vulnerable neighbourhoods are least equipped to cope with the threat of disaster. When flooding struck Thailand’s capital city Bangkok in 2011, the United Nations estimated that 73 per cent of low-income households were badly affected (UNISDR 2013). With disasters in cities on the rise, current thinking suggests that resilience offers valuable insights for reducing risk. This research seeks to develop and validate a conceptual framework for understanding urban disaster resilience in low-income neighbourhoods. It combines two urban approaches. The first, complex adaptive systems (CAS), views the city as a combination of inter-dependent parts working together at a multitude of scales that shapes its overall behaviour. The second, urban morphology, seeks to understand the creation of urban form by establishing connections between the city’s historical economic, political and social transformations to its modern day form. The conceptual framework was applied to three low-income neighbourhoods in Bangkok affected by the 2011 flood. Through a case study approach, qualitative information was gathered and analysed in order to understand city-scale and neighbourhood level transformations that built patterns of vulnerability and resilience to chronic stresses and acute shocks. This research concludes that combining CAS and morphology provides a valuable conceptual framework for understanding urban disaster resilience. Such a framework places people at the centre while providing a scalar and temporal analysis of co-evolving acute and chronic risks in urban areas. Moreover, the intersections of CAS and urban morphology identify dimensions of resilience, where human systems and the built environment affect each other in a positive or negative ways – before, during and after a disaster. Overall, this research concludes that resilience needs to be built both before and after a disaster to be effective, and that disaster itself is a test of how systems and the built environment have learned from history about how to cope with and adapt to shocks and stresses. To these ends, urban disaster resilience can be defined as the ways in which the built environment, complex adaptive systems and people interact to cope, adapt and transform in order to reduce disaster risk.

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For my Mom and Dad

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Acknowledgements As with any big undertaking, this thesis would not be possible without the generosity of so many people along the way. This journey was one of delightful surprises and profound moments of discovery. I would like to start by thanking the people from the Bang Bua Canal, who so patiently made time to answer my questions and allowed me a glimpse into their lives. In many ways people from the canal have been some of my greatest teachers. I would also like to thank the many key informants who took the time to speak with me. Each one made a valuable contribution towards shaping this thesis. I would also like to thank my two indispensible collaborators: Professor Georgia Butina Watson for being an inspirational leader with a confidence that carried me through challenging times and Professor David Sanderson for leading me to open the PhD door and for believing in me every step of the way. I had no idea how life changing this journey would be until you arrived, and for that I am profoundly grateful. To all the staff and students at Oxford Brookes University who attended my research presentations, debated my approaches and helped me refine my thinking – thank you. I especially want to acknowledge and thank Avar Almukhtar, Turki Shoaib, Soroush Nikeghbali, Mohammad Seddighi, Suneela Ahmed, Huiming Liu, Maria Farone, Wang Ye, Nyoman Maha Putra, Longhui Chen, Paul Torrance, Matt Thomson, Eric de Melo, Dimitris Moutaftsis and Regina Mapua Lim. I also thank Michael Hooper, Emma Lucken and Raven Anderson from the Social Agency Group at Harvard University’s Graduate School of Design and David Smith, Marianne Knapskog, Ray Prichard, Sabrina Scherzer, Silja Andersen, Catherine Brun and Carolina Daugstead from the Norwegian University of Science and Technology in Trondheim. To Turk, Avar and Roshna, knowing you has been one of the sweetest parts of this journey. Avar, I have never met a more remarkable person than you, and I could not have done this without you literally sitting beside me day after day. Last but not least, I thank my family. Particularly, my Mom, Bunnie Sitko; my Dad, Larry Sitko; and my sister, Lori Sitko, for helping me laugh at myself and for daily messages of encouragement and support. I also thank Autumn and Hob Murphy, Shaun Rude and Claire and Dustin Whitney for rallying around me. Thank you to Jessica Carlson and Anjuli Solanki for our daily Skype ‘to do’ lists. It is love from all of you that constantly replenishes me.

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Preface I began this research in order to learn more about the origin of disasters and how to improve recovery. My first interaction with Bangkok came when I moved from rural Canada to Thailand’s capital Bangkok as a high school exchange student where I became immersed in Thai culture and language for a year. I later returned as a humanitarian aid practitioner working in large and small disasters in a regional role that covered Asia and the Pacific. When Typhoon Ketsana struck the Philippines in 2009, the agency I was working for struggled with how to respond in urban areas where the need was great but the agency’s presence was not well established. There were questions of how to help, who to help and where to help. The aid sector’s response to Typhoon Ketsana left me with the desire to dig further into urban disaster response in order to improve the way in which disaster prevention and recovery is undertaken in urban contexts. For me this research took a surprising turn away from humanitarian work into day-to-day development activities when disaster-affected people kept bringing me back to everyday risks. The research shone a spotlight on the following key message: resilience starts well before a disaster, and its presence, however small and fluctuating, significantly impacts the recovery process. It may be that alongside the humanitarian imperative there is also a ‘resilience imperative’ that should be respected and regarded as highly. A resilience imperative is the commitment for humanitarian actors to think about the long-term implications of their relief work, and the ways in which it contributes to successful recovery. A resilience imperative also means that development colleagues are committed to disaster risk reduction within their development programmes. The resilience imperative stretches a hand to every single urban actor, suggesting each one is responsible for collaborating to reduce disaster risk and build resilience.

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Table of contents

Part I. Existing knowledge 1

Chapter one Introduction

2

1.1 Research problem 2 1.1.1 Urban challenges 4 1.1.2 The urban future of disasters 10 1.1.3 The role of resilience in disasters 12

1.2 Research questions 13 1.3 Aim and objectives 14 1.4 Research strategy 14 1.5 Thesis structure 17 Conclusion 21 Chapter two Theoretical and practice-based constructs of urban disaster resilience

22

Introduction 22 2.1 Urban 23

2.1.1 Understanding urban and development 23 2.1.2 Conceptualising the city through complex adaptive

systems and urban morphology approaches

29 2.1.3 Urban form and risk 35 2.1.4 Economic complex adaptive systems 39 2.1.5 Governance complex adaptive systems 43 2.1.6 Social complex adaptive systems 45

2.2 Disaster 49 2.2.1 Explaining disaster 50 2.2.2 Linking disaster and development 53

2.3 Resilience 60 2.3.1 Theory of resilience 60 2.3.2 Practice of resilience 70 2.3.3 Defining urban disaster resilience for this research 82

Conclusion 83

Part II. Research approach 85

Chapter three A conceptual framework for urban disaster resilience

86

Introduction 86 3.1 The conceptual framework’s aim 88 3.2 Complex adaptive systems: the framework’s horizontal axis 89

3.2.1 Economic flows 91 3.2.2 Governance networks 91

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3.2.3 Social dynamics 92 3.2.4 Triangulation: a review of three urban resilience

frameworks 93

3.3 Morphology: the framework’s vertical axis 99 3.3.1 Topographical layer 101 3.3.2 Movement networks and public open spaces layer 102 3.3.3 Plots layer 103 3.3.4 Buildings and services layer 105

3.4 A conceptual framework for urban disaster resilience 107 3.4.1 Framework justification 108 3.4.2 Analytical tool 110

Conclusion 113 Chapter four Methodological approach

114

Introduction 114 4.1 Meta-theories 115

4.1.1 Inductive research approach 115 4.1.2 Interpretivism 115

4.2 Research design 115 4.3 Research methods 119

4.3.1 Data types 119 4.3.2 Method of data collection 120 4.3.3 Methods of data analysis 125

4.4 Case study approach 126 4.4.1 Rationale for using a case study approach 127 4.4.2 Identification of a case study city 127 4.4.3 Identification of case study neighbourhoods 129

4.5 Analytical tool 136 4.6 Methods for validation 138 4.7 Dissemination of results 142 Conclusion 143

Part III. Case studies analysis 146

Chapter five A Systems and morphological analysis of chronic stresses in Bangkok and the Bang Bua Canal

147

Introduction 147 5.1 Topography layer 151

5.1.1 Agricultural economy 151 5.1.2 The politics of water management 157 5.1.3 Social connectedness 160

5.2 Movement networks and public open spaces 161 5.2.1 A new international airport and economic opportunity 168 5.2.2 Political battles transform mobility networks and public open spaces

171

5.2.3 Social grounds for information sharing 173

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5.3 Plots 175 5.3.1 Neighbourhood savings structures and plot transformation

176

5.3.2 Neighbourhood governance structures 178 5.3.3. Social dynamics and aspirations 180

5.4 Buildings and services 182 5.4.1 Building typologies 182 5.4.2 Renters 186 5.4.3 Planning regulations and access to services 186 5.4.4 Social dynamics expressed through building usage 188

Conclusion 189 Chapter six A systems and morphological analysis of the 2011 flood in Bangkok and the Bang Bua Canal

192

Introduction 192 6.1 Topography 194

6.1.1 Summary of the 2011 flood 194 6.1.2 National flood management 197 6.1.3 The social re-framing of disaster and development

priorities 201

6.1.4 Economic impact on poorer people 203 6.2 Movement networks and public open spaces 205

6.2.1 City-scale risk reduction, preparedness and mitigation and the impact on local neighbourhoods

205

6.2.2 Free public transport and income generation 206 6.2.3 Public open spaces 208

6.3 Plots 210 6.3.1 Financial pressures related to plots 210 6.3.2 Flood management through the canal network 211 6.3.3 Self organisation at the neighbourhood level 212

6.4 Buildings and services 213 6.4.1 Poor quality housing and vulnerability to flooding 213 6.4.2 Evacuation centres and vulnerable people 218 6.4.3 Government district authorities and local neighbourhood needs

219

Conclusion 220 Chapter seven

Case study one – analysis of Bang Bua Neighbourhood

224

Introduction 224

7.1 Neighbourhood profile 225 7.2 Topography 229 7.3 Movement networks and public open spaces 229

7.3.1 Road accessibility 229 7.3.2 Public open spaces 232

7.4 Plots 235

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7.4.1 Savings groups 238 7.4.2 Governance structures 239 7.4.3 Social dynamics 241

7.5 Buildings and services 243 7.5.1 Robust homes 243 7.5.2 Access to services 247 7.5.3 The role of the community centres 252

7.6 Validating findings 256 Conclusion 256 Chapter eight

Case study two – analysis of Saphan Mai Neighbourhood

259

Introduction 259 8.1 Neighbourhood profile 260 8.2 Topography 264 8.3 Movement networks and public open spaces 264

8.3.1 Road accessibility 264 8.3.2 Public open spaces 270

8.4 Plots 272 8.4.1 Savings structures 275 8.4.2 Governance structure 277 8.4.3 Fluidity of social tensions 279

8.5 Buildings and services 281 8.5.1 Strong homes versus vulnerable homes 281 8.5.2 Access to services 284 8.5.3 Access to community centres 286

8.6 Validating findings 289 Conclusion 290 Chapter nine

Case study three – analysis of Roi Krong Neighbourhood

292

Introduction 292 9.1 Neighbourhood profile 293 9.2 Topography 296 9.3 Movement networks and public open spaces 296

9.3.1 Movement networks 296 9.3.2 Public open spaces 300

9.4 Plots 302 9.4.1 Parallel governance systems 305 9.4.2 Social obstacles within the savings group 306 9.4.3 Land conflict 308

9.5 Buildings and services 310 9.5.1 Rental property income 311 9.5.2 Access to services 314 9.5.3 Community buildings and social divisions 315

9.6 Validating findings 320

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Conclusion 320

Part IV. New contribution to knowledge 323

Chapter ten

Key findings from the case studies

324

Introduction 324 Part I: Re-interpreting the findings from individual cases 326 10.1 Bang Bua Neighbourhood 326

10.1.1 Patterns of CAS 326 10.1.2 Dimensions of resilience 329

10.2 Saphan Mai Neighbourhood 332 10.2.1 Patterns of CAS 332 10.2.2 Dimensions of resilience 334

10.3 Roi Krong Neighbourhood 336 10.3.1 Patterns of CAS 337 10.3.2 Dimensions of resilience 340

Part II: Establishing cross-case dimensions of resilience 344 10.5 Dimensions of resilience within the topographical layer 345

10.5.1 Urban poor networks and the collective production of knowledge

345

10.5.2 Urban poor networks demonstrate a capability for analysis, self-representation and agency

346

10.5.3 Where government actions came up short, networks and their partners fill the gap

347

10.6 Dimensions of resilience within the movement networks and public open spaces layer

348

10.6.1 Safety 349 10.6.2 Inclusiveness 349 10.6.3 Income generation 350

10.7 Dimensions of resilience within the plots layer 351 10.7.1 Land tenure 352 10.7.2 Savings groups 353 10.7.3 Governance structures 353 10.7.4 Social capital 355

10.8 Dimensions of resilience within the buildings and services layer

357

10.8.1 Building quality and the politics of participation 357 10.8.2 Inclusive planning and reconstruction processes 359

Conclusion 362 Chapter eleven Generalisable key findings

365

Introduction 365 11.1 Connections between case findings and conceptual

framework

367 11.2 Connections between the conceptual framework and theory 377 11.3 Evaluation of the conceptual framework and analytical tool 384

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11.3.1 Analytical tool 385 11.3.2 Validation of the conceptual framework and analytical tool

386

11.3.3 Refinements to the conceptual framework resulting from the validation process

388

11.3.4 Strengths 388 11.3.5 Limitations 392

Conclusion 395 Chapter twelve Conclusion

397

Introduction 397 12.1 Meeting research aim and objectives 397 12.2 Reflections on the research methodology 402

12.2.1 Limitations 402 12.2.2 Strengths 403

12.3 Contribution to knowledge 404 12.3.1 Theoretical contribution 404 12.3.2 Practice-based contribution 405

12.4 Recommendations for future research 408 12.4.1 The connection between technology and resilience 408 12.4.2 The quandary of how to help renters 408 12.4.3 A systems and morphological approach to urban displacement

409

Chapter conclusion 410 Concluding statement 411 Bibliography 412 Appendices 435

Appendix A – Key informants 435 Appendix B – Key informant interview questions 441 Appendix C – Sample of interview transcripts 446 Appendix D – Focus group discussions 453

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Acronyms AADMER ASEAN Agreement on Disaster Management and Emergency Response ABA Area Based Approach ACCCRN Asian Cities Climate Change Resilience Network ADPC Asia Disaster Preparedness Centre APG ASEAN Partnership Group ASEAN Association of South East Asian Nations BRC British Red Cross BMA Bangkok Metropolitan Authority CAS Complex Adaptive Systems CaLP Cash and Learning Partnership CBO Community-Based Organisation CCA Climate Change Adaptation CENDEP Centre for Development and Emergency Practice CODI Community Organisations Development Institute DDPM Department of Disaster Prevention and Mitigation DFID Department for International Development DPM Disaster Prevention and Mitigation DPU Development Planning Unit DRM Disaster Risk Management DRR Disaster Risk Reduction ECHO European Commission Humanitarian Office FAO Food and Agriculture Organization FSIN Food Security Information Network HERR Humanitarian Emergency Response Review HFA Hyogo Framework for Action IASC Inter-Agency Standing Committee IDMC Internal Displacement Monitoring Centre IDP Internally Displaced Person IIED International Institute for Environment and Development ICLEI International Council for Local Environmental Initiatives IFRC International Federation of Red Cross and Red Crescent Societies ILO International Labor Organization IMF International Monetary Fund IRIN Integrated Regional Information Networks IUDD Infrastructure and Urban Development Division FGD Focus Group Discussion FROC Flood4 Relief Operations Center GBP Great British Pound GSC Global Shelter Cluster MDG Millennium Development Goal MOU Memorandum of Understanding NTNU Norwegian University of Science and Technology

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NESDB National Economic and Social and Development Board NGO Non-Governmental Organisation NHA National Housing Authority OFDA Office of Foreign Disaster Assistance OBU Oxford Brookes University PLWD People Living With Disability SAP Structural Adjustment Programmes SDG Sustainable Development Goal SES Social Ecological Systems SEWA Self Employed Women’s Association SNAP Strategic National Action Plan SOPs Standard Operating Procedures SCWRM Strategic Committee on Water Resource Management THB Thai Baht UCL University College London UK United Kingdom UNICEF United Nations International Children’s Emergency Fund UNISDR United Nations International Strategy for Disaster Reduction USAID United States Agency for International Development USD United States Dollar WFP World Food Programme WHO World Health Organization WHS World Humanitarian Summit

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Tables and figures Tables

Table 2.3.3a: A list of six frameworks chosen for in-depth analysis. Source: the author Table 2.3.3b: A list of 26 frameworks chosen for review in relation to urban disaster resilience. Source: the author Table 4.3.2a: A summary of the types of methods, number of participants and frequency of use (where appropriate). Table 4.4.3a: Criteria for selecting neighbourhood case studies in Bangkok, Thailand. Source: the author Table 4.6a: A table listing the findings from each case study on the left and the method for validation on the right. Source: the author Table 4.6b: A summary of the participants engaged in the validation process, including the institution, participants’ nationalities, department and case studies used. Source: the author Table 4.8: The types of products for dissemination are listed in the left column, the groups that have been targeted in the centre and the method of delivery in the right column. Source: the author Table 5.1.2: An adaptation of the historical flood events in Thailand. Source: Bangkok Metropolitan Authority cited in Aon Benfield, 2012. Source: the author Table 7.5.1: A table of the size of houses built in Bang Bua Neighbourhood and the costs associated. Source: the author Table 8.5.1a: Housing sizes and costs in Saphan Mai. Loans are calculated to a 15-year period. Source: the author

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Table 10.0: Chapter structure for identifying urban disaster resilience dimensions. Source: the author Table 10.1.1a: A summary of the key patterns that arose from analysis of economic, governance and social CAS before, during and after the flood in Bang Bua Neighbourhood. Source: the author Table 10.1.1b: a summary of the key findings from each CAS discussed Bang Bua neighbourhood. Source: the author Table 10.2.1a: A summary of the key patterns that arose from analysis of economic, governance and social CAS before, during and after the flood in Saphan Mai. Source: the author Table 10.2.1b: A list of key dimensions of resilience within economic, governance and social CAS in Saphan Mai. Source: the author Table 10.3.1a: A summary of the key patterns that arose from analysis of economic, governance and social CAS before, during and after the flood in Roi Krong. Source: the author Table 10.3.1b: A list of key dimensions of resilience within economic, governance and social CAS in Roi Krong. Source: the author Table 10.4: An overview of the key dimensions of resilience within economic, governance and social CAS in Bang Bua, Saphan Mai and Roi Krong neighbourhoods. Source: the author Table 10.8.2a: A summary table of the dimensions of resilience in four different morphological layers. Source: the author Table 11.0: A summary of the structure used to establish connections between theory and practice in Chapter Eleven. Source: the author Table 11.3.2a: A summary of the institutions, participants and their nationalities, department and case study used during the validation process. Source: the author

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Figures

Figure 2.2.1a: An interpretation of the Pressure and Release Model from (Wisner et al., 2004), which illustrates that a disaster occurs when vulnerability meets a hazard. Source: the author Figure 3.1a: The CAS aspect of the conceptual framework is represented in blue (horizontal axis), and analyses patterns of resilience, risk, capacity and vulnerability. The morphological element of the conceptual framework represented in green (vertical axis), analyse changes within the built and natural environment. Source: the author Figure 3.2a: A diagrammatic representation of overlapping economic flows, governance networks and social dynamic CAS. Source: the author Figure 3.2.4a: An interpretation of The Resilience Alliance’s (2007) key themes for building the urban resilience within a city and its component parts. Source: the author Figure 3.2.4b: The author’s framework builds on the knowledge of the Resilience Alliance (2007) by using similar social and governance systems while making modifications to the way in which economic systems is understood (as indicated in blue). Urban form is indicated in green and will be given greater emphasis through a morphological analysis. Source: the author Figure 3.2.4c: An interpretation of da Silva et al.’s (2012) model of the city as an open system shows that smaller levels of governance i.e a district, has a strong ability to control networks inside of its administrative boundaries (as indicated in the top gray box), and as the level of government grows in size i.e. multiple districts are under the control of a single authority, a reduced ability to influence networks inside and outside of its boundaries is seen. Source: the author Figure 3.2.4d: An interpretation of The City Resilience Framework (da Silva, 2014). The four categories of urban resilience are highlighted in blue. Source: the author Figure 3.3: Four morphological layers used in the conceptual framework include the topography layer; movement networks and public open spaces layer; the plots layer; and the buildings and services layer. Source: the author Figure 3.3.1: A visual graphic of the way in which the three key CAS intersect with the topographical layer. Source: the author

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Figure 3.3.2: A graphic of the way in which the three key CAS intersect with the movements network and public open spaces layer. Source: the author Figure 3.3.3: A graphic of the way in which the three key CAS systems intersect with the plots layer. Source: the author Figure 3.3.4: A graphic of the way in which the three key CAS intersect with the building and services layer. Source: the author Figure 3.3.1: A conceptual framework of urban disaster resilience. The blue horizontal axis represents CAS deemed most relevant to urban disaster resilience. The green vertical axis represents morphological layers used to analyse the quality of place in different layers of the built and natural environment. Culled together into one framework, the intersections between human elements of CAS and morphological layers create dimensions of disaster resilience. Source: the author Figure 4.2: An overview of the research design demonstrates how each chapter contributes to the fulfillment of a research objective. Source: the author Figure 4.4.2a: A map of Bangkok, the capital city of Thailand. Source: the author adapted from the (Department of City Planning, 2014c) Figure 4.4.3a: A satellite image of the Bang Bua Canal in northwestern Bangkok. The three neighbourhoods chosen as case studies are located along a three-kilometre stretch of canal. The neighbourhoods are Saphan Mai, Bang Bua Neighbourhood and Roi Krong. Source: (Department of City Planning, 2014b) Figure 4.4.3b: A view of Bang Bua Neighbourhood. Source: the author

Figure 4.4.3c: A view of Saphan Mai. Source: the author

Figure 4.4.3d: A view of Roi Krong (houses on the left). Source: the author Figure 4.5: An analytical tool for understanding urban disaster resilience. Source: the author Figure 5.0a: A map of Bangkok indicating the location of the Bang Bua Canal straddles two administrative districts: Lak Si on the left and Bang Khen on the right. Source: BMA (Department of City Planning, 2013d) Figure 5.0b: A map of the Bang Bua Canal, depicting Saphan Mai at the bottom, Bang Bua neighbourhood in the middle and Roi Krong neighbourhood at the top. Source: (Department of City Planning, 2014b)

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Figure 5.1.1a: An elevation map of Bangkok with the locations of the neighbourhoods depicted. Neighbourhood one is Bang Bua neighbourhood. Neighbourhood two is Saphan Mai. Neighbourhood three is Roi Krong. Source: (Department of City Planning, 2013a) Figure 5.1.1b: A map of the rivers, canals and waterways in present day Bangkok. Neighbourhood 1 is Bang Bua. Neighbourhood 2 is Saphan Mai. Neighbourhood 3 is Roi Krong. Source: (Department of City Planning, 2013c) Figure 5.1.1c: A 1968 map of Bangkok reflects a primarily rural landscape with vast rice fields. Black dots indicate few houses existed along the canals, including the Bang Bua Canal. Major roads and highways have remained the same. A black arrow indicates the Bang Bua Canal. Source: (Royal Thai Survey Department, 1968) Figure 5.2a: A historical perspective of mobility networks in Bangkok. Rice fields are abundant amongst road and railway infrastructure. Source: (Royal Thai Survey Department, 1968) Figure 5.2b: A view of Phaholyothin Road, an eight-lane highway that crosses the Bang Bua Canal. Source: the author Figure 5.2c: Types of roads within each neighbourhood. Source: the author Figure 5.2d: Photographs of the public open spaces that exist within each of the three case studies. Source: the author Figure 5.2.1a: A vendor parks her tea and coffee cart on the pedestrian lane but opens for business when customers arrive. Source: the author Figure 5.2.1b: Bottles and other recyclable goods are stored on the pedestrian roadway. Source: the author Figure 5.2.1c: A vendor pushes a cart of dried squid for sale through Bang Bua Neighbourhood (case study one). Source: the author Figure 5.2.1d: Fish farms are located against the canal wall on the right side of the photo. Source: the author Figure 5.2.1e: Residents fishing along the canal to supplement their diets. Source: author Figure 5.2.1f: The public open space under the orange roof tent has been appropriated by a restaurant owner. Source: the author

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Figure 5.2.1g: The public open space under the orange roof hosts a food stall. Source: the author Figure 5.2.2a: A map of the official open spaces in Bangkok. The Bang Bua Canal is indicated on the map as open space, demonstrating the contraction between government master plans and reality. Neighbourhood 1 is Bang Bua. Neighbourhood 2 is Saphan Mai. Neighbourhood 3 is Roi Krong. Source: (Department of City Planning, 2013b). Figure 5.2.2b: Waste removal services available in Bang Bua neighbourhood (case one). Source: the author Figure 5.2.2c: Canal maintenance services provided by the government. Source: the author Figure 5.2.3: Pedestrian roads in Bang Bua Neighbourhood are places for socialising and for temporarily parking motorcycles. Lighting, humps and loud speakers contribute to overall safety. Source: the author Figure 5.3.3a: Government and military personnel giving anti-drug speeches to canal residents. Source: the author Figure 5.3.3b: Military, government staff and canal residents from different neighbourhoods (adults and children) march in solidarity against drugs through different neighbourhoods. Source: the author Figure 5.4.1a: A mix of single unit housing and semi-detached housing made of concrete, wood or a mixture of both. A number of building typologies that can be found in the canal range from apartments to double storey terraced houses, single and double storey wooden houses on stilts, dormitories and single storey cement homes. Source: the author Figure 5.4.1b: There are two types of community centres. The first is built of cement as shown in the top left and right photo and bottom left photo. The second is an outdoor gazebo structure, often seen in hotter climates as shown in the bottom right photo. Source: the author Figure 5.4.1c: A health centre a few hundred metres from Bang Bua Neighbourhood. The clinic is a single story building made of cement. Source: the author Figure 5.4.1d: A library shared between two neighbourhoods. The building is constructed of cement. The exterior of the building is shown on the left and the interior on the right. Source: the author

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Figure 7.1.1 Bang Bua Neighbourhood shows no signs of the 2011 flood, three years after the event took place. Source: the author Figure 7.1.2: A building use map from the Bangkok Metropolitan Authority that shows Bang Bua Neighbourhood located between a military base and the Bang Bua Canal. Residential buildings are indicated in yellow. Source: (Department of City Planning, 2014a). Figure 7.3.1a: This map of Bang Bua Neighbourhood indicates primary pedestrian lanes (with motorcycle access) in red and alleyways in yellow. Source: (Bang Bua Neighbourhood, nd-d) Figure 7.3.1b: This photograph shows a pedestrian size entrance to Bang Bua Neighbourhood via the shortcut through the military base. Source: the author Figure 7.3.1c: This map of the planned reconstruction in Bang Bua Neighbourhood indicates houses in orange and public open spaces located in front of the library in blue (top), at the community centre (middle) and next to the Tamarind tree (bottom). Source: (Bang Bua Neighbourhood, nd-e) Figure 7.3.1d: A photo of the public open space that was cleared for children to play safely in the centre of the neighbourhood instead of in parking lots. Source: the author Figure 7.4a: A map of Bang Bua Neighbourhood before the re-blocking of plots took place. Each colour signifies a group of houses that shifted their plots to live next to each other. Source: (Bang Bua Neighbourhood, nd-a) Figure 7.4b Bang Bua Neighbourhood after 100 per cent of the re-blocking took place. Source: (Bang Bua Neighbourhood, nd-e) Figure 7.5.1a: A drawing of strong, safe houses, created during a focus group discussion (BBFGD2) with eight Bang Bua Neighbourhood residents. The drawing highlights the difference between perceptions of a strong home (blue) and a weak one (red). Source: Bang Bua FGD2 on 2 March 2014 Figure 7.5.1b: Qualities described in the picture created by participants in the focus group discussion mentioned above can be seen in the actual houses in Bang Bua Neighbourhood. For example, two and three storey homes with cement foundations and frames as shown in this photo of Bang Bua Neighbourhood. Source: the author Figure 7.5.1c: A terrace or ‘sala’ for outdoor socialising was listed as an important quality of a house. Source: the author

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Figure 7.5.2a: Meters for water and electricity (right) monitor consumption for individual households. Source: the author Figure 7.5.2b: A map of Bang Bua Neighbourhood’s water supply shows the main pipe (indicated in solid green) is located on the canal side, and that smaller pipes (indicated in dotted green lines) have been laid to service houses further from the canal. Source: (Bang Bua neighbourhood, nd-b) Figure 7.5.2c: A map of Bang Bua Neighbourhood’s drainage system shows the primary drainage pipe (indicated in solid blue) is located along the canal, and that smaller pipes (indicated in dotted blue lines) have been laid to service houses further from the canal. Source: (Bang Bua Neighbourhood, nd-c) Figure 7.5.2d: The upgrading included a waste collection service by the district government. A government boat accesses the waste from a jetty. Source: the author Figure 7.5.2e: Weekly weed collection by the municipal government improves canal water flow. Source: the author Figure 7.5.3a This map shows Bang Bua Neighbourhood’s community centre (blue) is located near the main entrance. Source: (Bang Bua Neighbourhood, nd-e) Figure 7.5.3b: The façade of the public library in Bang Bua Neighbourhood (top) and the inside (bottom) showing a child friendly environment with books and table to read at. Source: the author Figure 8.1.a: Saphan Mai in the process of reblocking and reconstructing the last phase of houses. Source: the author Figure 8.1b: A municipal building use map shows Saphan Mai residential buildings in yellow. Saphan Mai neighbourhood is indicated by a black dotted line. Source: (Department of City Planning, 2014d) Figure 8.3.1a: A wooden bridge from a main road offers pedestrian access to Saphan Mai. Source: the author Figure 8.3.1b: One entrance to Saphan Mai through an apartment parking lot. Source: the author Figure 8.3.1c: A third entrance to Saphan Mai along the backside of an apartment block. Source: the author

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Figure 8.3.1d: There are three entrance points to Saphan Mai, starting with the bridge on the left, and two entrances through an apartment parking lot located in the centre of the map. Source: (Department of City Planning, 2014d) Figure 8.3.1e: The main pedestrian lane runs through the centre of the neighbourhood, and is illustrated in gray. Although the map shows building use as recorded by the municipal government in 2009, the larger roads remain relatively unchanged. A more updated map was not available. (Department of City Planning, 2014d) Figure 8.3.2a: A photo of public space located at the centre of Saphan Mai is used for a meeting between residents regarding a funding proposal to the district authority for development activities. Source: the author Figure 8.4a: A map of Saphan Mai before the upgrading process began. Source: (Saphan Mai, 2004) Figure 8.4.2a: A diagrammatic representation of the overlaps between a husband, wife and daughter who hold key leadership positions in Saphan Mai. Source: the author Figure 8.5.1a: A single story wooden home built on stilts in Saphan Mai neighbourhood. This type of housing is vulnerable to flooding. Source: the author Figure 8.5.1b: Homes less vulnerable to the floods were constructed from a mix of concrete, wood and brick as shown in the photo of a house frame on the left. Less vulnerable homes have two stories as shown in the photo on the right. Source: the author Figure 8.5.2a: Sewerage tanks pictured in front of the community building are fitted into the newly reconstructed homes. Source: the author Figure 8.5.2b: A rubbish collection point next to the tent at the centre of the neighbourhood. Source: the author Figure 8.5.3a: A two-storey community building where administrative work takes place. Source: the author Figure 8.5.3b: A view of the World Vision Thailand tent intended to be used as a community building but is instead host to a food stall for personal economic gain. Source: the author Figure 8.5.3c: Saphan Mai residents frequent the food stall that is set up in an area designed as a community building. Source: the author

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Figure 9.1.a: Roi Krong neighbourhood (left). Low quality homes on the canal block the view of more affluent homes built on the landside of the neighbourhood. Source: the author Figure 9.1b: A building use map that shows Roi Krong’s location along the canal perpendicular to the main highway. Source: (Department of City Planning, 2014d) Figure 9.3.1a: Roi Krong has one narrow pedestrian lane that runs through the centre of it as shown in the photo above. Source: the author Figure 9.3.1b: There are three pedestrian entrances to Roi Krong as shown in the building use map of Roi Krong above. Source: (Department of City Planning, 2014d) Figure 9.3.1c: An eight-lane highway is the primary entrance to Roi Krong. Source: the author Figure 9.3.1d: Access to Roi Krong is gained through a narrow road that runs parallel to the bridge incline. Source: the author Figure 9.3.2a: A view to the left of the bridge of the fruits and vegetables stands that are hosted in the public open space within the road network in Roi Krong. Source: the author Figure 9.3.2b: A view to the right of the bridge of the fruits and vegetables stands that are hosted in the open public space within the road network in Roi Krong. Source: the author Figure 9.3.2c: The space under the narrow incline of the bridge is used for storing goods and socialising in Roi Krong. Source: the author Figure 9.3.2d: A mesh wire fence has been put up to prevent homeless people and drug users from accessing the public open space in Roi Krong. Source: the author Figure 9.4a: The blue cement fence (left) and the corrugated iron fence (right) are examples of the fences that surround outdoor living space in Roi Krong. Source: the author Figure 9.5.1a: A dormitory with large, pleasant outdoor spaces for people to socialise in. Source: the author Figure 9.5.1b: A second dormitory with large private open space with a table and an outdoor bed. Source: the author

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Figure 9.5.1c: A third dormitory with large private open space with a table. Source: the author Figure 9.5.1d: A photograph of a room rental within one of the houses in Roi Krong. Source: the author Figure 9.5.3a: Roi Krong’s health centre (left) and community centre (right) used by Baan Mankong supporters. Source: the author Figure 9.5.3b: Roi Krong’s sala used by supporters of the elected leader. Source: the author Figure 9.5.3c: A diagram of the community buildings in Roi Krong shows that all three buildings share a plot boundary, each with their own separate user groups. Source: the author Figure 9.5.3d: A notice board inside the Roi Krong community centre. Source: the author Figure 9.5.4e: Important notices posted outside the Roi Krong community centre on its fence. Source: the author Figure 10.1.2a: The conceptual framework with dimensions of resilience from Bang Bua neighbourhood plotted at different intersections between CAS and morphological layers. Source: the author Figure 10.2.2a: The conceptual framework with dimensions of resilience from Saphan Mai neighbourhood plotted at different intersections between CAS and morphological layers. Source: the author Figure 11.1: The conceptual framework with key dimensions of resilience plotted at the intersections between CAS and morphology. The dimensions were identified in Chapter Ten through a cross-case analysis. Source: the author Figure 11.1a: The conceptual framework with key dimensions of resilience plotted on it. Social dynamics were identified as influential at every morphological layer, therefore suggesting that social dynamics an important CAS for poorer urban people. Source: the author Figure 11.1b: Four dimensions of resilience are identified at the plot layer: secure land tenure, financial mechanism, governance mechanisms and social agency. Source: the author Figure 11.2e: An illustration demonstrating that resilience building occurs before a disaster strikes as indicated by the arrows on the left. The dotted lines in the graphic illustrate the four morphological layers where

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resilience building takes place. The middle section indicates that the disaster event serves as a test of resilience. Source: the author Figure 11.2f: An illustration demonstrating that resilience building occurs before a disaster strikes and again after the disaster as indicated by the arrows on the right and left. The dotted lines in the graphic illustrate the four morphological layers where resilience building takes place. The middle section shows that the disaster event serves as a test of resilience. Source: the author Figure 11.3a: A conceptual framework that blends CAS and morphological approaches into a single framework for interrogating urban disaster resilience. Source: the author Figure 11.3.4a: A sample of the comments from participants at NTNU regarding the usefulness of the conceptual framework and analytical tool. Source: the author Figure 11.3.4b: A vignette from a British Red Cross aid worker about the transferability of the conceptual framework. Source: FGD BRC Figure 11.3.5a: A sample of the analytical tool applied to a case study of the 2010 Haiti earthquake by students from NTNU. Arrows are drawn in the boxes to show linkages between the morphological layers and CAS. Source: the author Figure 12.3.2a: Practical and theoretical contributions to knowledge are indicated with black arrows in the research design above. Source: the author

Part I. Existing knowledge

Chapter one: introduction

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Chapter one Introduction

This introductory chapter is organised into five sections. The Research

Problem section defines the problem and establishes the parameters of

this research. The Research Questions section identifies the questions that

will guide the inquiry and address the research problem. The Aim and

Objectives section articulates the purpose of the study and the sequence

of steps that will assist in the achievement of the aim and objectives. The

Research Strategy explains the approach and stages for achieving the aim

and objectives by relating each of the stages to corresponding chapters.

The Thesis Structure section describes each of the chapters and the ways

in which they contribute to fulfilling the overall research aim.

1.1 Research problem

Cities represent two percent of the earth’s land use, consume 60-80 per

cent of the world’s energy and are host to half the population of the globe

(Allen et al., 2012). By 2050, 66 per cent of the world’s population is

expected to be urban, with nearly 90 per cent of the increase

concentrated in Asia and Africa (United Nations, 2014). Lower and middle-


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income countries are estimated to host 95 per cent of future urban

expansion, posing the enormous challenge of managing rapid urbanisation

and alleviating poverty (Allen et al., 2012). At the same time the world is

seeing an increase in the frequency, severity and intensity of natural

hazards (Djalante, Holley and Thomalla, 2011). Disasters caused by natural

hazards – earthquakes, tsunamis, cyclones and flooding – are estimated to

cost US $314 billion per year (UNISDR, 2015b). Moreover, the 2015 Global

Assessment Report on Disaster Risk Reduction (2015b), estimates that

between 1980-2012 damage as a result of internationally reported

disasters is equivalent to 42 million years of economic and social

development loss. Measuring the impact of disasters in years of human

development loss, the report argues, is more representative than any

other metric because it includes time lost on economic and social

progress.

Within the category of natural hazard, flood risk has been found by Swiss

Re, a Swiss reinsurance company, to threaten more people in urban

centres than any other natural hazard (2013). In 2011, when flooding

struck Thailand’s capital city Bangkok, the United Nations International

Strategy for Disaster Reduction (UNISDR) estimated that 73 per cent of

low-income households were impacted compared to 21 per cent of the

entire city population (UNISDR 2013). With the increase of disasters in

cities, current thinking suggests that resilience can address some of the

key urban issues by connecting planners, local government and the private

sector on humanitarian and development issues (Habitat III, 2015f).

The next section will outline key urban challenges, concerns regarding the

future of urban disasters and the role resilience can play to address these

challenges in order to help identify where knowledge exists and where

there are gaps (de Vaus, 2001).


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1.1.1 Urban challenges

Urban areas can be seen as centres of opportunity because of a diversity

of jobs, education, specialised healthcare and cultural diversity (McClean,

2010). Through urban centres, nations have gained wealthier economies

by investing in international trade and production (Satterthwaite, 2002).

The International Federation of Red Cross and Red Crescent Societies

(IFRC) notes that ‘well-run cities can be among the safest places on earth’

or among the most dangerous when resources and political will are not

present to ensure the provision of basic services such as ‘food security,

policing, running water, sewerage and respect for building codes’

(McClean, 2010, p.8). Gilbert and Gugler (1992) note that state and city

planning has attempted to address urban risks and challenges by striving

to allocate resources more fairly between competing groups, but have

been unsuccessful because of people with political power who are able to

influence planning decisions that ultimately bypass the interests of those

with limited power. This therefore supports the point that key urban

trends are building everyday and disaster risk into cities, making urban

living risky, especially for poorer people, who are almost always also the

most vulnerable.

The research problem for this thesis is formulated, in part, by four key

urban trends that create the conditions for everyday and disaster risk

within cities. They are: rapid urbanisation; growth in economic inequality;

growth in informal settlements; and inadequate infrastructure. Each of

these is discussed below.

a.) Rapid urbanisation

Rapid urbanisation is often understood as a shift from a predominantly

rural to urban society, arguably one of the most complex socio-economic

phenomenon of the twentieth and twenty-first century (Allen et al., 2012).

Global statistics from 2014 indicate that 54 per cent of the world’s

population was living in an urban environment (United Nations, 2014). A


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United Nations (2014) report on urbanisation notes that in 1950, only 30

per cent of the world’s population lived in urban centres; by 2050 it is

projected that 66 per cent of the world’s population will be urban.

Moreover, it is expected that by 2030, low-income countries will have

more people living in urban areas than in rural (Allen et al., 2012).

Unplanned and unmanaged urbanisation can unintentionally build disaster

risk through inadequate infrastructure, such as sewerage and piped water,

the growth of informal settlements, and growth in economic inequality.

Urbanisation also generates inequality and exclusion at rates that are

often higher than the national average of a country overall (Habitat III,

2015c). Economic inequality is often linked with gender and spatial

inequality, leading to exclusion and discrimination of groups such as slum

dwellers, women, migrant workers and minority groups. There is potential

conflict between economic growth and the preservation of environmental

resources such as forests, water and clean air as pressures from urban

population centres diminish resources (Rakodi and Nunan, 2002).

McGranhan and Satterthwaite observe that ‘although urbanisation brings

serious challenges, attempts to inhibit it through exclusionary policies are

likely to be socially, economically and environmentally damaging’ (2014,

p.3). The challenge then, is how to successfully manage urbanisation in a

way that creates inclusive and safer cities for all. Having explained key

opportunities and challenges within urbanisation, the next section

explains the impact of the growth of the informal economy.

b.) Growth of the informal economy

This section highlights the growth of the informal sector and ways in which

social and economic risks are built upon a fragile and complex web of

inter-relations between the formal and informal.

The informal economy became a named concept in the 1960s and has

since been referred to as a shadow economy, a second economy, a parallel


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economy and the informal sector (Chant and McIlwaine, 2009). It is

estimated that the informal economy accounts for over half of global

employment and potentially as much as 90 per cent of employment in

low-income countries (Chambwera, MacGregor and Baker, 2011). The

World Bank estimates that between one-fifth and four-fifths of the

economic outputs in lower-income countries results from the informal

economy and between 25 per cent to 40 per cent of annual output in low-

income countries in Asia and Africa (The World Bank, 2015).

Conceptually, the key difference between the formal and informal

economy is that the formal economy is made up of wage labour with

benefits and rights governed by rules and laws concerning property,

health and safety, commercial licensing, labour contracts, financial credit

and social security (Feige 1990). In contrast, de Soto (1989) argues that the

informal economy is a result of people trying to escape the over-

regulation, corruption and bureaucratic inefficiency of the state. One of

the primary challenges with the informal economy is that it is comprised

of self-employed persons, whose labour is not regulated and are often

comprised of activities that shortcut costs and are labour intensive (ILO,

2014). Additionally, the informal economy is often present where the state

is absent, particularly within the provision of basic services (Chant and

McIlwaine, 2009). For example, in settlements dealers provide electricity

illegally by tapping into the electricity grid. Water is purchased in

containers often at inflated prices or is illegally obtained by tapping into a

pipeline. Transport is another example of an informal market with its

provision of taxi drivers and buses. Informality also reaches into the land

and housing markets, which will be discussed in greater detail in the

following section. In practice, formal and informal boundaries blur as

labour shifts between the two based on interdependent relationships.

When a disaster such as that caused by a flood strikes, pressure is placed

on the inter-relationships between the formal and informal economy,


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sometimes causing damage or the collapse of economic systems, markets

and supply chains linked to markets. Untangling the relationships and

identifying vulnerabilities before a disaster is challenging, and even more

so afterwards. Therefore understanding the challenges and responses to

the growth of an informal economy is crucial to reducing vulnerability and

avoidance of building back systems that do not replicate the same risks

and vulnerabilities.

Those in the informal economy are often more vulnerable, because,

among other things, of the absence of regulations around decent work

conditions, social protection mechanisms such as pensions, health

insurance, retirement funds and training opportunities to improve

specialised skill sets that enable people to move up the income ladder.

Having explained challenges related to the growth of the informal

economy, the next section explains how the growth of informal

settlements creates new urban risk.

c.) Growth of informal settlements

UN-Habitat describes the growth of urban informal settlements as an

‘urban phenomenon’ (Habitat III, 2015e). Today, there are over 863 million

people living in settlements, equating to over a quarter of the world’s

population (UN-Habitat, 2013b). The absolute number of settlement

dwellers is up from 650 million in 1990 and 760 million in 2000 (UN-

Habitat, 2014). When a natural hazard strikes an urban area, informal

settlements are often without adequate housing to withstand storms,

earthquakes, strong winds and floods. Oftentimes they have limited

provision of basic services before a disaster and are therefore often

compelled to seek shelter in evacuation centres, with host families or in

displacement camps.

Almost a billion people live with insecure property tenure and ambiguous

land occupation with direct social and economic implications (UN-Habitat,


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2013a). For example, without a formally registered address it can be

difficult to find work, receive official documents and even obtain

citizenship (Chant and McIlwaine, 2009). De Soto argues that shortfalls in

shelter are a consequence of inequitable property rights and tenure

policies that prevent poorer people from taking full advantage of their

assets, referring to economic assets not recognised formally as ‘dead

capital’ (de Soto, 2000). Gilbert (2002) attributes shortfalls in housing to

the fact that it straddles both social and economic policies, and are

bottomless in terms of the need and economic input required to fully

address shortages. Chant and McIIwaine (2009) argue the lack of adequate

shelter comes not just from poverty, but from the failure of the state and

a lack of political will to address real need.

In urban areas poorer people engage in numerous housing arrangements –

from renting to formal contracts or informal agreements to staying with

host families in a situation of multiple occupancy agreements (either

sharing the plot or their home) to squatter settlements formed through

the invasion of private or publicly owned land or through renting or buying

sub-divisions – cheap land, often illegally sold off by brokers or ‘owners’

who lack authorisation to sell the land. The land where poorer people live

is frequently in locations where no one else wants to live due to

environmentally or geologically hazardous conditions or out of the reach

of transportation and services (Gilbert, 1992). Having explained how the

growth of informal settlements is a key urban challenge, the next section

explores the impact of inadequate urban infrastructure.

d.) Inadequate infrastructure

Urban infrastructure has traditionally been defined as basic infrastructure

and services that include ‘the delivery of safe water, sanitation, waste

management, social welfare, transport and communications facilities,

energy, health and emergency services, schools, public safety, and the

management of open spaces’ (Habitat II Agenda 1). While infrastructure


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has primarily been seen in ‘siloed’, i.e. separated sectors of physical

structures, in the last decade there has been a shift towards a systems

based approach (that views cities as inter-dependent ‘components’ or

‘systems’, which co-evolve with their changing environment), recognising

the complexity of networks, assets, knowledge and institutions associated

with infrastructure and the provision of basic services (Habitat III, 2015g).

Urban infrastructure is a concern in urban areas for several reasons:

sometimes it is poorly built or maintained; becomes ineffective at serving

large numbers of users; is not regulated or does not comply with

standards or safety codes; and finally, sometimes infrastructure does not

reflect new technology advances (Allen, Lampis and Swilling, 2015).

Investments in infrastructure are required to keep cities safe and

sustainable, and may in fact shape a second wave of urbanisation (Swilling,

2015). Alongside physical and financial investments in infrastructure,

Swilling (2015) argues that governance paradigms are also in need of

replacing through incremental urbanism, whereby suppliers and

communities co-produce the different means of accessing to services

based on the unique conditions of each context. Currently there is a gap

between supply and demand; accessibility; and affordability reflecting

weakness in urban planning and policy approaches (Habitat III, 2015g).

UN-Habitat estimates that USD 57 trillion in investment into infrastructure

is required between 2013-2030 to meet growing global need (Habitat III,

2015g). The World Health Organisation (WHO) and United Nations

International Children’s Emergency Fund (UNICEF) found that by 2012

over 542 million people did not have access to sanitation and 720 million

people did not have access to piped water (WHO and UNICEF, 2014).

Globally, UN-Habitat estimates that cities generate over two billion tons of

waste and predicts this number will double by 2035 (UN-Habitat, 2010).

Such statistics suggest that the research problem therefore, is how to

ensure poorer people’s needs for water, sanitation, electricity and other


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such services are met in ways are affordable and safe. Furthermore, that

access to basic services is assured at some basic level even after a disaster.

Having explained four key urban challenges related to rapid urbanisation,

the growth of the informal economy, the growth of informal settlements

and the presence of inadequate infrastructure, the next section will focus

on the impact natural hazards can have on cities.

1.1.2 The urban future of disasters

When cities are not well managed they can be seen as ‘crucibles of

hazards’, generating vulnerability and risk for large populations (Bull-

Kamanga et al., 2003, p.196). Natural hazards can be particularly

dangerous in cities because high concentrations of people in one space are

exposed to the same hazard with varying degrees of preparedness and

coping mechanisms. Moreover, in a city there are a greater number of

hazards for people to be exposed to including a wide range of infectious

diseases, proximity to dangerous industrial processes and the potential for

road accidents (Bull-Kamanga et al., 2003). It is the interdependence of

urban systems with natural and constructed hazards that makes it difficult

to identify and reduce risks. It is therefore important that analysis of urban

disaster risk includes an understanding of the underlying everyday risks

(i.e. the inability to afford heath care, to eat nutritious meals each day, to

walk to school without fear of attack, or to live in a safe, adequate home)

that shape urban vulnerability as much as the disaster risks associated

with particular hazards.

Literature suggests that there is not enough evidence around what works

best in disaster recovery in urban contexts, and that further research on a

number of topics is advised. In a review of humanitarian responses to

urban crises, Brown et al. (2015) make four recommendations for

strengthening humanitarian response in urban settings. The first is to

reframe the problem by focusing on different approaches to better


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understanding systems, processes and context. It suggests that asking

‘why’ urban is different is required in addition to seeking ‘how’.

The second recommendation is to look outside humanitarian

interventions by investigating aspects of time and history in order to

understand what was ‘normal’ in a particular area before a disaster struck.

Analysing pre-disaster contexts may provide an understanding of what is

‘normal’ and therefore how to improve recovery. A post-disaster context

does not offer the same opportunities because ‘normal’ processes are

disturbed. Moreover, knowing that humanitarian aid reaches a limited

segment of the population means that research into self-recovery

dynamics and partnerships could present new learning opportunities.

The third is to broaden traditional methods and scope of research across

multiple sectors, scales and data collection methods. The authors suggest

that quality and validity can be severely compromised when research on a

dynamic context is conducted over too short a time span, and therefore

suggest support for longitudinal studies to understand transformations

over time. Furthermore, the authors suggest more research be conducted

on urban areas from a complex systems approach that reaches across

sectors and scales in a holistic way.

The fourth and final recommendation is to co-produce knowledge and

evidence with local actors in order to take into account local

understandings, perceptions and knowledge. For example, the authors

suggest ‘subject briefings’ where land administration, urban planning, and

building codes and regulations are explained or mapped with a possible

questions and answer session at the end. They also suggest ‘experience

briefings’ where local actors share experiences and lessons learned

responding to a crisis in the same area or nearby location.


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1.1.3 The role of resilience in disasters

The concept of resilience has been introduced into the disaster lexicon,

but evidence is still emerging regarding why and how resilience saves and

protects lives (Boin, Comfort and Demchak, 2010). While the concept is

relatively new to disaster management and is still debated, it forms the

basis for many of the current practical frameworks in the areas of relief

and development (Combaz, 2015). Yet, there is skepticism about the

optimistic use of the concept. Levine et al. (2012) argue that a bigger body

of empirical knowledge is necessary in order to understand what it means

to build resilience in specific crises and how resilience can realistically be

achieved after a disaster. The authors write that ‘current ways of

portraying resilience are not useful as a guide in diagnosing people’s

vulnerability, and are also too vague to help designing any policies or

programmes for building resilience’ (Levine et al., 2012, p.1). Bahadur et al

(2010) note that resilience is not only used in reference to disasters but is

increasingly raised in discussions on policies and programming in climate

change adaptation and disaster risk reduction, however with minimal

scrutiny of how it might influence the ways in which it is operationalised.

Manyena (2006) writes that resilience is viewed as a positive concept that

focuses on the ability of disaster affected communities to ‘bounce back’

with little or no external support. However some are concerned that

bouncing back could be dangerous for communities and systems that are

returning to an undesirable state of vulnerability and exposure (Pelling,

2011a). Moreover, the concept of self-reliance risks laying the ground

work for governments to abscond from their duties to protect citizens

from harm (Griffin, 2011). Cannon and Muller-Mahn (2010) note that a

shift from vulnerability analysis to resilience analysis could be dangerous if

it weakens the emphasis on the socio-economic construction of hazards

and risk in favour of highlighting a natural science perspective.


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Amid other concerns regarding resilience is that its definition is too broad,

risking becoming meaningless if it is a catch all phrase that encompasses

everything good (Bruijne, Boin and van Eeten, 2010). Moreover, because

there is no agreed upon definition of disaster resilience, measuring it

becomes a significant challenge due to what some call a lack of standards

(Winderl, 2014).

Therefore there is a need to understand better what is meant by urban

disaster resilience in light of the many definitions and demands for further

evidence of how resilience can be operationalised. This research sees the

need to ask critical questions about urban disaster resilience from a socio-

spatial perspective in order to develop a conceptual framework for

building resilience in low-income neighbourhoods.

1.2 Research questions

The main research question, derived from the research problem discussion

above is: What is an appropriate approach for understanding urban

disaster resilience in low-income settlements?

The following sub-questions guide the research design:

1. What is an appropriate conceptual framework for exploring urban

disaster resilience?

2. What is an appropriate method for analysing disaster resilience

within low-income neighbourhoods?

3. What city-scale transformations build resilience or vulnerability to

chronic stresses and acute shocks?

4. What are the key dimensions of resilience at different scales in a

neighbourhood across time?

5. What can be generalised beyond this research from the case study

findings and the conceptual framework?


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1.3 Aim and objectives

In order to answer the research questions, the overall aim of this research

is to develop and validate a conceptual framework for understanding

urban disaster resilience in low-income neighbourhoods.

In order to achieve the aim, the following five objectives have been set:

1. Objective one: to formulate a conceptual framework for exploring

disaster resilience in low-income neighbourhoods.

2. Objective two: to develop a methodology for analysing disaster

resilience within low-income neighbourhoods.

3. Objective three: to apply the methodology in three low-income

neighbourhoods to identify key findings and dimensions of

resilience.

4. Objective four: to validate findings and the conceptual framework

with key actors.

5. Objective five: to identify the generalisable results of the case

studies and conceptual framework for building urban disaster

resilience in low-income neighbourhoods.

1.4 Research strategy

This research draws on both theory and practice by employing a deductive

and inductive research strategy. It is deductive through its reliance upon a

literature review of current theories and practices in order to develop a

conceptual framework. However, it is also inductive through its use of

specific observations from case studies in order to make generalisations

that link with theory. Both deductive and inductive strategies are

complimentary approaches for analysing the complexity of reality.

Furthermore, the research adopts a qualitative research strategy as the

primary method of data collection and analysis in order to account for


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social attitudes and perceptions; as well as the fluid and ever-changing

concept of reality (Bryman, 2008). Moreover, a qualitative research

strategy was chosen because it views the researcher as an active learner

(Creswell, 2007).

A case study combined with theory is used as a means of understanding

what urban disaster resilience is in the context of low-income

neighbourhoods. The case of a flood disaster along the Bang Bua Canal in

Bangkok, Thailand in 2011 was chosen. In this research, a case study is the

primary method of inquiry because the point of a case study is to see if

theory works in real life or if it needs refinement or is applicable only in

certain circumstances (de Vaus, 2001).

The case study of Bangkok is analysed using qualitative methodologies

from a range of disciplines, including planning and the use of urban

morphology (Whitehand, 2001; Butina Watson et al., 2004; Moudon,

1997); disaster and development studies and the use of participatory rapid

appraisal (Chambers, 2002; IFRC, 2007b; Pretty et al., 1995) and ecology

with the use of human environment interaction methodologies (Holling,

2001; Folke, 2006; Bar-Yam, 1997b). The research methods include

analysis of city plans, neighbourhood maps, historical photos, key

informant interviews, focus group discussions, workshops and participant

observation.

The research has five stages, each of which is described individually below.

Stage 1: Develop a conceptual framework

In stage one a literature review of theory and practice related to cities,

disasters, development and resilience is undertaken in order to design a

conceptual framework for exploring urban disaster resilience (Chapters

One, Two and Three).


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Stage 2: Develop a methodological approach

In stage two a methodology for analysing disaster resilience within low-

income neighbourhoods (Chapter Four) is developed based on the

conceptual framework conceived in stage one. An analytical tool for

practitioners that links to the conceptual framework is also developed.

Stage 3: Data collection and analysis

In stage three the methodology for analysing disaster resilience is used on

the case study in order to collect and analyse data at a city level (Bangkok)

and at a neighbourhood level (specifically in three neighbourhoods in the

Bang Bua Canal) (Chapters Five, Six, Seven, Eight and Nine). Key

dimensions of resilience are defined within each neighbourhood.

Dimensions of resilience are defined in this research as the interaction

between the built environment and economic, governance and social

systems.

Stage 4: Propose common dimensions of resilience

In stage four common dimensions of resilience are proposed from the case

studies and re-interpreted to establish cross-case dimensions of resilience

(Chapter Ten).

Stage 5: Validate conceptual framework and analytical tool and draw

conclusions

In stage five urban professionals from academia and practice validate the

conceptual framework and accompanying analytical tool in order to

identify elements of generalisability (Chapter Eleven). Conclusions about

the research are then drawn, including the research’s limitations and

strengths, the ways in which it met the aim and objectives and

recommendations for further research (Chapter Twelve).


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1.5 Thesis structure

This thesis is organised into twelve chapters that address the research

questions and fulfill the aim and objectives of this research. This section

explains the role of each chapter and summarises the content.

Chapter One: Introduction

This chapter introduces the research problem as a question of what are

the key approaches for understanding urban disaster resilience in low

income settlements. It then introduces key research questions, the thesis’

aim and objectives as well as its overall research strategy in order to

provide an overview of the thesis for the reader.

Chapter Two: Theoretical and Practice-Based Constructs of Urban

Disaster Resilience

This chapter identifies key theoretical and practical constructs of cities,

disasters, development and resilience. It reviews key debates,

conceptualisations and frameworks in order to understand the ways in

which the concepts interact, and provide input into addressing the

research sub-question, ‘What is the most appropriate conceptual

framework for exploring urban disaster resilience?’

Chapter Three: A Conceptual Framework for Urban Disaster Resilience

This chapter answers the research sub-question, ‘What is the most

appropriate conceptual framework for exploring urban disaster

resilience?’ by developing a conceptual framework that incorporates key

concepts and theories reviewed in the literature. The conceptual

framework chapter specifically focuses on the interaction between

humans and urban built form as a holistic approach to understanding

urban disaster resilience.


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Chapter Four: Methodological Approach

This chapter answers the research sub-question, ‘What is the most

appropriate method for analysing disaster resilience within low-income

neighbourhoods?’ by using the conceptual framework to develop a

research methodology for analysis. The methodological approach

establishes methods and techniques for inquiry, data analysis and research

validation.

Chapter Five: A Systems and Morphological Analysis of Chronic Stresses

in Bangkok and the Bang Bua Canal

This chapter answers the research sub-question, ‘What city-scale

transformations build resilience or vulnerability to chronic stresses and

acute shocks?’ The conceptual framework is used to conduct analysis of

the historical transformation of Bangkok and the Bang Bua Canal in

relation to human interactions between the built and natural environment

and everyday risks presented by chronic and acute stresses.

Chapter Six: A Systems and Morphological Analysis of the 2011 Flood in

Bangkok and the Bang Bua Canal

This chapter answers the research sub-question, ‘What city-scale

transformations build resilience to flood shocks?’ The conceptual

framework is used to conduct analysis of the historical transformation of

Bangkok and the Bang Bua Canal in relation to disaster related risks and

the impact of the 2011 flood disaster.

Chapter Seven: Case study One: Analysis of Bang Bua Neighbourhood

Chapter Eight: Case study Two: Analysis of Saphan Mai Neighbourhood

Chapter Nine: Case study Three: Analysis of Roi Krong Neighbourhood

Chapters Seven, Eight and Nine answer the research sub-question, ‘What

are the key dimensions of resilience at different morphological scales in a

neighbourhood across time?’ The methodological approach analyses

systemic patterns of vulnerabilities and capacities in relation to the 2011


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flood in order to establish dimensions of resilience before, during and

after the flood in the Bang Bua Canal.

Chapter Ten: Key Findings From the Case Studies

This chapters answer the research sub-question, ‘What are the key

dimensions of resilience at different scales across time?’ by re-interpreting

and consolidating key findings from the case studies in order to establish

cross-case dimensions of urban disaster resilience.

Chapter Eleven: Generalisable Key Findings

This chapter answers the research sub-question, ‘What can be generalised

beyond this research from the case study findings and the conceptual

framework?’ The chapter aims to identify generalisable dimensions of

resilience that exist in theory and practice, establishing connections

between the case studies and the conceptual framework. The chapter

then seeks to evaluate the validity of the conceptual framework and

analytical tool through input by urban stakeholders in academia and

practice. It then establishes connections between the conceptual

framework and general body of theory.

Chapter Twelve: Conclusion

This chapter reviews the process of meeting the research aim and

objectives in order to identify the new contribution to knowledge and

further areas for research.

Figure 1.5a below provides a visual representation of how the chapters

link to thesis objectives.


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Figure 1.5a: A visual representation of the link between chapters and objectives. Source: the author


Page 21

Conclusion

This chapter introduced the research problem, highlighting four key urban

challenges facing the world today. It then explained the ways in which

urban disasters set out new challenges for cities and questioned the

usefulness of the concept of resilience in disaster preparedness, response

and recovery. The primary research question was then presented, which

seeks to investigate what key approaches can be used for understanding

urban disaster resilience in low-income settlements; five other sub-

questions were stated. A research strategy was then presented, outlining

key stages and approaches to the research. The chapter closed with a

description of the thesis structure and the purpose of each chapter.

The next chapter provides a literature review of key theoretical and

practical constructs drawn from different fields and disciplines that reflect

urban complexity in order to formulate a conceptual framework for

understanding disaster resilience in low-income neighbourhoods.

Chapter two: theoretical and practice-based constructs of urban disaster resilience

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Chapter two Theoretical and practice-based constructs of urban disaster resilience

Introduction

This chapter seeks to examine key theoretical constructs of urban, disaster

and resilience in order to develop a conceptual framework for

understanding urban disaster resilience. It begins by analysing the links

between urban and development through tracing the history of key

development theories and their connection with urban growth. It then

presents two approaches for conceputalising the city, namely complex

adaptive systems and urban morphology. It then specifies key challenges

and opportunities within the city beginning with urban form and risks

related to the built and natural environment. It then explains the types of

economic, governance and social complexities within urban areas from a

systems perspective. The chapter then analyses key disaster theories and

approaches and where possible, establishes links with cities. Finally, the


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chapter closes with an explanation of resilience within urban disaster

contexts, critiquing resilience from both theoretical and operational

perspectives.

2.1 Urban

This section explains key concepts and debates about cities. It forms the

largest part of the chapter in recognition that the literature review on

disasters and resilience is conducted in relation to cities. In order to

develop an appropriate framework for understanding urban disaster

resilience, this section begins with an explanation of how key

development theories link with urbanisation. It then explores the

application of complex adaptive systems and urban morphology as

approaches for understanding inter-relationships within a city. An analysis

of urban form and related risks is then presented followed by an

examination of what a city conceptually looks like when it is analysed

through an economic, governance and social systems lens.

2.1.1 Understanding urban and development

Development and post-development theories have been used to

understand cities, mostly in the global South (Williams, Meth and Willis,

2009), but not without critique. This section will outline the key

theoretical approaches to the city and corresponding critiques,

highlighting current urbanisation trends, opportunities and challenges that

arise. It will then present a conceptual analysis of the city using two

approaches: urban morphology and complex adaptive systems.

Development theory is an interdisciplinary body of theory that examines

economics, politics and culture in order to identify problems and provide

solutions for dealing with them (Chant and McIlwaine, 2009). Theories,

approaches, ideologies and schools of thought within development are

similar in that they are formed around the intention of changing a society


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in a concrete and particular way, and in its early days that involved almost

exclusively economic growth (Potter, 2002) in urban centres. Much of the

theory used today was developed post-World War II (Escobar, 1995). In

order to ‘modernise’ it was believed that urbanisation, industralisation

and economic growth were essential (Williams, Meth and Willis, 2009). To

this end, development theory has been influenced by the work of

planners, administrators, politicians, and international agencies, including

but not limited to non-government organisations (NGOs) and community-

based organisations (CBOs) in addition to academics (Chant and

McIlwaine, 2009). While there are many development theories and

schools of thought, five broad and overlapping ones dating back from the

mid 1940s to present day have been selected for analysis, having had a

great impact on the formation of urban thinking (Pacione, 2001).

The first is Modernisation theory, which became influential in the 1940s-

1960s. Modernisation theory is a school of thought or an approach that

posits that development in the global South is done best when it mirrors

the processes undertaken in the post-war reconstruction of Europe,

resulting in modern, industrialised societies (Hettne, 2002). Modernism is

characterised by the drive for industrialisation, commercialisation of

agriculture, the introduction of technology, large-scale infrastructure

projects and training in cultures and values from the global North. For

example, Rostow (1960) used global economic history to develop a model

with five key stages of growth. Key to the model’s success was the ‘take-

off’ stage where modernising elite invested in industrialisation, which was

expected to yield high levels of industrial productivity that would

eventually become self-sustaining and diversify into other sectors (Chant

and McIlwaine, 2009). The diversified income base would then

theoretically ‘trickle-down’ to other sectors and regions. While this

process of industrialisation had taken over one hundred years in

nineteenth and twentieth century Britain, Rowstow’s model believed this


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pace could be accelerated in the global South, taking less than a

generation (Williams, Meth and Willis, 2009).

However, by the 1960s there was little evidence in way of economic

growth and poverty reduction that suggested modernisation-based

policies were working. Moreover, Modernization theory faced critiques of

being ethnocentric and not accounting for colonial constraints that

prevented a number of countries from freely developing their own

strategies and goals for ‘development’ (Chant and McIlwaine, 2009).

The second theory that gained prominence between 1960s to mid-1970s

was Dependency theory, comprising a range of approaches from the

global South, specifically Latin America, that believed exploitation by the

global North was the root cause of poverty and a lack of economic growth

(Handelman, 2009). Dependency theory takes into consideration historical

and global contexts as well as colonialism. Baran and Frank, influential

dependency theorists challenged capitalist development expectations of

the global South (Hettne, 2002). Frank’s Marxist perspective posited that

the global South should de-link their economies from the global North due

to exploitation and an unhealthy relationship of dependency (Hettne,

2002). Dependency theory was critiqued however, for over-generalisation

and oversimplification because the theory was primarily based on the

Latin American experience. Nor did empirical evidence support the

premise that southern countries with the most extensive relationships

with northern countries were the poorest and most underdeveloped

(Chant and McIlwaine, 2009). However, perhaps the most important

critique of Dependency theory is its failure to articulate specific causes of

under-development beyond the scope of capitalism (Chant and

McIlwaine, 2009; Handelman, 2009).

To address some of the criticisms against Dependency theory, Wallerstein

(2004) developed the World Systems theory (widely regarded in the mid-


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1970s to mid-1980s), which argued that a country’s development

prospects are shaped by global economic processes and inter-

relationships (Pacione, 2001). It viewed the world as inherently unequal

with variations of capitalist potential in different countries at different

times due to the possibility of asset accumulation in specific periods of

history. However, this theory also suffered from over generalisation and

simplification of complex global, national and local economic, political and

social processes. Klak (2002) notes that the theory is difficult to test and

therefore may be better referenced as a perspective.

The fourth theory is that of neoliberalism, an approach that highly shaped

policies and practices within the scope of ‘sustainable development’

(Escobar, 1995) beginning in the 1980s until today. Williams, Meth and

Willis (2009) describe the approach as ‘hegemonic’ when it first

dominated international development practice in the 1980s and 1990s.

Neoliberalism is based on the belief that deregulation of markets and

promotion of free trade will result in economic development.

Neoliberalists posit that minimal state involvement in the market

economy provides the necessary space required for social and economic

growth.

The main characteristics of neoliberalism include privitisation of state-

owned enterprises, increased foreign investment and the elimination of

government regulations and protectionism (Chant and McIlwaine, 2009;

Escobar, 1995; Williams, Meth and Willis, 2009). Poverty and a lack of

economic growth are understood by neoliberalists to be a result of an

overextended government and a public sector burdened by corruption

and inefficiency (Handelman, 2009). Neoliberalism was especially popular

in the 1980s through economists Von Hayek and Friedman known as the

‘Chicago Boys’ who advocated that market forces were the primary

mechanism for development and that government interference hindered

their growth (Chant and McIlwaine, 2009). Free market policies were


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reflected heavily in Thatcherism and Reaganism in the UK and the USA

(Pryke, 1999; Williams, Meth and Willis, 2009), both countries that held

the majority votes on the boards of the International Monetary Fund

(IMF) and the World Bank, which influenced the neoliberalist turns taken

by the financial institutions’ approach to development in the global South

(Chant and McIlwaine, 2009).

In the early 1980s when the ‘debt crisis’ started, international financial

institutions responded with structural adjustment programmes (SAPs)

intended to reduce repayments from countries through mobilisation of

domestic resources, economic policy reforms, increase in exportation of

traditional and non-traditional commodities and the reduction of the

state’s role in economics (Simon, 2002; Williams, Meth and Willis, 2009).

Two measures were put in place. Stabilisation, a short-term measure was

a strategy that involved a freeze on public sector wages, a reduction in

food subsidies and devaluation of the currency (Simon, 2002). Meanwhile,

adjustment measures, a longer-term strategy, focused on export

promotion, civil service downsizing, privatisation, tax reductions and the

relaxing of economic regulations (Simon, 2002).

Critiques of neoliberal policies were that they were seen to create

widespread dependence on international financial institutes; ignored

inequalities and instabilities in global markets; perpetuated exploitation of

the environment through mineral resource extraction, and promoted the

industrialisation of crops and activities that resulted in land degradation.

Additionally, neoliberal policies were seen to have taken little account of

the impact colonialism had on social and economic structures in the global

South. Moreover, from a human perspective, UNICEF noted that SAPs

were the source of high unemployment, an increase in the cost of food

staples, declining actual wages and reduced spending on social and public

services by governments (1987). Urban areas were particularly affected by

these policies because civil servants lost their jobs and poorer urban


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people became unable to afford the cost of goods and services (Chant and

McIlwaine, 2009). Moreover, SAP policies have undermined the ability for

many cities to manage urbanisation effectively (Williams, Meth and Willis,

2009).

The fifth and final theory is that of Post-development, which has been a

rival movement to the earlier mentioned theories from the 1990s until

today. Post-development thinking rejects the meta-theories of

Modernisation and Dependency in favour of embracing, ‘diversity, context

and alternative voices’ (Chant and McIlwaine, 2009, p.49). It is a bottom-

up approach that employs non-hierarchical strategies that consider each

context as unique and individual, is inclusive of local knowledge and

promotes equitable power sharing (Willis, 2005). Post-development

thinking highlights alternative approaches by focusing on the importance

of local voices and excluded perspectives. Post-modernist theorists such

as Escobar (1995) believe that the global South has wrongly been treated

as one homogenous and uniform context. Post-modernist writers such as

Chambers (1997), pose the question: ‘whose reality counts?’ in response

to top-down, development theories, policies and activities imposed on the

global South by institutions from the global North. Some Post-

development theorists advocate not for ‘development alternatives’ but

for ‘alternatives to development… a rejection of the paradigm altogether’

(Escobar, 1995, p.215).

Critiques against Post-development theory include the argument that if

postmodernisms reject the concept of ‘development’ then they should

provide an alternative. Literature suggests that perhaps it is more helpful

not to reject development in its entirety, but to offer clarity over what

aspects of development are being rejected such as traditional thinking

around how development can be better achieved. Others with a more

ecological focus such as Rist, argue that a kind of ‘green capitalism’ is

needed to correct the mistakes of the past by moving away from


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economic growth, production and consumption into ‘de-growth’, large-

scale recycling, energy-saving measures and becoming ‘conscious

objectors to growth’ (2014, p.259).

Having explained how development has fostered urbanisation through

policies and industrial activities, the next section will provide an analysis of

the city through examination of key concepts and elements through a

complex adaptive systems and urban morphological approach.

2.1.2 Conceptualising the city through complex adaptive systems and

urban morphology approaches

This section analyses the city through a complex adaptive systems (CAS)

and urban morphology approaches. It begins with an explanation of CAS

and how it can be used to analyse cities.

Complex Adaptive Systems

A city can be difficult to define. Cities fluctuate, are porous and have no

clear boundaries (Ramalingam and Knox Clarke, 2012). Kostof (1991)

observes that cities are made up of buildings and people. Lynch

extrapolates the same idea by writing, ‘City forms, their actual functions,

and the ideas and values that people attach to them make up a single

phenomenon’ (1981, p.36). However, urban approaches such as complex

adaptive systems and urban morphology can assist with understanding

what the city is by reflecting the complexities of interdependencies

determined by social, political, physical, natural and economic

components of an urban centre. Various component parts of a city behave

independently. For example, analysis of a neighbourhood requires

knowledge of its component parts, such as the behaviour of households in

that neighbourhood, in order to understand what each of the component

parts are doing. Yet, from a larger scale it is difficult to differentiate the

behaviour of various component parts (in this case the houses), and at

times only their emergent behaviour as one system is observable (the


Page 30

neighbourhood). Therefore, a systems approach focuses on the processes

undertaken when component parts interact, and how they behave as one

(Bar-Yam, 1997a), which is crucial for understanding urban complexity.

Moreover, both approaches allow for scalar and integrative analysis that

reflects the myriad of ways in which humans engage with the built and

natural environment.

Complex systems theory views the city as a system with internal

interdependent component parts working together at a multitude of

scales that shape the behaviour and development of a city (Aiken et al.,

1987). The city is not only shaped internally but externally as well by other

global, national or municipal systems (da Silva, 2014). Complex ‘adaptive’

systems adapt and co-evolve with their changing environment (da Silva,

Kernaghan and Luque, 2012; Holling, 2001), and are sometimes referred

to as Social Ecological Systems (SES) in urbanisation and climate change

debates (Friend and Moench, 2013).

This research views cities and neighbourhoods as complex adaptive

systems. The word ‘adaptive’ provides an emphasis on conditions that

allow complex systems and their relationships to co-evolve over time in

response to dynamic interplays between systems, their internal

component parts and external systems that might influence them. For

example, a city may be affected by a failed crop, which lowers the overall

availability of a grain. Market systems inside the city may see grain prices

increase due to reduced availability in external supply chains in a nearby

region. For an individual within the city the increase in the price of grain in

the market may affect other component parts of a person’s life; access to

healthcare for example, may become prohibitive because a greater part of

the salary goes toward food costs, reducing amounts that can be spent

elsewhere.


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Conceptualising a city and its neighbourhoods through a CAS lens fits the

complex reality of urban life. It provides a focus on complexity (Bar-Yam,

1997b), process (Folke, 2006) and scale (Juarrero, 2000). Complex systems

have a high degree of order, despite appearing chaotic; they are non-

linear and highly complex; dynamic in nature; and interdependent (Bar-

Yam, 1997b; Gunderson and Holling, 2002; Gunderson, 2010). They have

feedback loops triggered by bottom-up and top-down causations

(Juarrero, 2000) and internal and external shocks and stresses. Complex

systems have fuzzy boundaries that make it difficult to demarcate where

one stops and another systems starts.

CAS processes are analysed through the ways in which heterogeneous

individual component parts interact (Levin, 1998) as a loosely formed

group that self-organises even in the absence of a ‘global’ or overall

controller (Arthur, Durlauf and Lane, 1997), meaning that each

component part interacts with other component parts to produce

emergent behaviour, much in the way flocks of birds move, bees swarm or

a crowd leaves a stadium (Cleveland, 2005). The processes within CAS are

non-linear; systems are made up of autonomous agents that make choices

that influence and limit each other (Cleveland, 2005).

Friend and Moench write that examination of urban processes is

important because they are often, ‘dependent on complex infrastructure,

energy, food, water, transport, communications and accompanying socio-

cultural systems’ and are vulnerable to a range of shocks and stresses

(2013, p.103). Processes in a city can be interrupted by natural

disturbances, which are slow such as drought or rapid, such as a flood, but

are part of a process of disruption, renewal, growth or decline (Cleveland,

2005). Disturbances also provide an opportunity for a system to

demonstrate its adaptive capacity, a requirement for evolution and

development (Folke, 2006; Martin-Breen and Anderies, 2011). In other

words, CAS processes are a part of urban transformation.


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While CAS theory provides the opportunity to recognise

interdependencies and to study the processes that emerge from them, it

has been critiqued for diminishing the importance of the individual (Bar-

Yam, 1997b) in order to focus on component parts or a system as a whole.

Friend and Moench (2013) write that systems theory does not address

social value sets such as equity, poverty and justice and therefore must be

supplemented with other relevant theories to account for agency and

power in human systems. Arup International Development, an

organisation that provides technical expertise to humanitarian and

development work, and the Rockefeller Foundation (originators of the 100

Resilient Cities initiative) counter this argument based on collaborative

research that recognises the city as a ‘system of systems’, which includes

‘systems that determine human behaviour’ such as social, governance and

economic systems (da Silva, 2014). In summary, economic, governance

and social CAS can be useful for determining who benefits and who is

disadvantaged when changes within a system occur.

There are many typologies of scale within CAS, such as a family, a tribe, a

neighbourhood, a corporation, or a nation state. Even all of civilisation can

be viewed as a complex system (Bar-Yam, 1997b). A CAS is composed of

many elements or sub-systems that interact at multiple scales and operate

as a whole, giving rise to what is known as emergent behaviour (Bar-Yam,

1997b). Emergent behaviour is the result of the relationships between

individual parts and how those behaviours merge together and appear as

one (Fiksel, 2006). Emergent behaviour that is self-organised without a

preplanned result is a key characteristic of complex systems (Walker et al.,

2004; Levin, 1998). Due to the unpredictable element of human

behaviour, it is challenging to predict or control a complex system (Bar-

Yam, 1997b). Bar-Yam (1997b) observes that hierarchical structures are

increasingly being replaced with flatter structures due to individual

empowerment from technological shifts such as the industrial revolution


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and the current information revolution, arguing that, in large parts of the

world, individuals are now empowered to act more independently while

engaging with more layers of collective behaviour through networking,

organisations and institutions, thus increasing complexity.

Urban Morphology

The second approach discussed in this section is urban morphology.

Broadly defined, urban morphology is the study of how urban form is

shaped by social, political and economic factors (Whitehand, 2012). Urban

morphology engages with history, seeking to draw connections between

historical and modern day transformations at different scales and

resolutions of urban form in order to identify underlying factors that shape

a place (Warner and Whittemore, 2012). The primary concern of urban

morphology is the study of urban form; understanding the creation of

form is essential to the success of future molding and reshaping of it,

making morphology essential to urbanism and urban design (Kropf, 2005).

Karaman argues that ‘the morphological patterns of cities are as important

as economical, social, political, and cultural factors’ (Karaman, 2001, p.1).

Interpretation of physical form historically comes from a long chain of

different disciplines, including architecture, urban design and planning,

geography, history, archeology and social anthropology, each of which

emphasises different perspectives (Gauthiez, 2004). Research on urban

form is not based in one discipline, rather it is scattered across a range of

disciplinary, linguistic and cultural backgrounds (Gauthier and Gilliland,

2006).

There are various schools of thought that have defined urban morphology.

In the late eighteenth and nineteenth centuries Durand and Quatremere

de Quincy from the French school and Stubben, Geisler and Keyser from

the German school focused on identifying architectural types of buildings

(Gauthiez, 2004). Meanwhile, at the same time Fritz in Germany focused


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on the value town plans had in understanding historical transformations

(Gauthiez, 2004). However, it was Muratori and Caniggia from Italy and

Conzen, a German geographer, who gave prominence to the value of

analysing architectural types and town plans together in the mid-

twentieth century (Gauthiez, 2004). This same combination of theory was

then introduced again in 1998 by Kropf as a tool for urban designers and

planners, and further developed by Whitehand (1987), Moudon (1997),

Butina Watson (2007) and others.

Moudon argues that form, resolution and time comprise the three

fundamental pillars of urban morphological research, all of which can be

used as an interdisciplinary approach to analysis of the city (Moudon,

1997). Urban form is often described in the literature as some variance of

the following categories: buildings; plots and lots; open space; streets and

movement networks; and topography (Moudon, 1997), depending on the

aims and scale of the research (Levy, 1999). These components can be

viewed as urban form layers at different scales of resolution. For example,

the building layer is the smallest scale of resolution followed by plots and

lots then open spaces and movement networks, going out to the largest

scale, which is topography and its natural landscape components

(Whitehand, 2001; Kropf, 2005; Kostof, 1991).

Analysing scale is important because form is produced and managed at

different scales. The examination of scales reveals different degrees of

control and power (Massey, 1993). Who is included at different scales is as

important as how they are included because it reflects power (Kesby,

2005). Furthermore, scale recognises that a ‘place’, such as a

neighbourhood or a city, is constructed by a range of social relations

within a wider geographical context. A place is influenced by the internal

processes of relationships between people on the one hand, and between

people and their environment on the other. Scale reveals that places have

no single identity and are full of internal conflicts (Massey, 1991).


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Time is also important because it offers cultural context to the influences

on different forms at different scales as they transform over time. Butina

Watson and Bentley (2007) observe that up until the nineteenth century,

transport limitations in the UK meant that, mostly, buildings were

constructed by local materials; however, by the middle of the nineteenth

century, industrialisation led to urbanisation, providing access to new

channels for sourcing building materials through relatively cheap

transportation means. Changes in maps and town plans over time show

that different scales of morphology change at different rates. Combining

and coordinating analysis of scale and time is aimed at achieving a better

understanding of human settlements (Kropf, 2009). Analysis of scale,

power and social relations is particularly important for research in low-

income settlements where people live on marginalised land, are often

socially excluded and therefore are more vulnerable (Dovey and King,

2011).

Having explained why CAS and urban morphology are appropriate

approaches for analysing the city and how each approach can be

employed, the next section will analyse the city in relation to risks,

vulnerabilities and capacities related to urban form, economic, governance

and social systems.

2.1.3 Urban form and risk

This section explains the ways in which spatial inequality creates risk in

urban form over time. It focuses on risks associated with limited access to

adequate housing and basic services.

In 1948 the right to housing was included in the United Nations Universal

Declaration of Human Rights and reaffirmed again in the 1966

International Covenant on Economic, Social and Cultural Rights by the

Office for High Commission for Human Rights (Habitat III, 2015b). UN-


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Habitat (2015b) notes that the right to adequate housing is defined by

seven key conditions, many of which are not met in informal settlements

and slums, leading to greater vulnerability. The first condition is tenure

and security to protect against threats such as forced evictions. The

second is access to adequate services such as electricity, safe drinking

water, sanitation and refuse disposal. Third and fourth are the conditions

of affordable and habitable housing, which encompasses physical safety at

affordable costs. Fifth and sixth are the accessibility and location of

housing, which are meant to underscore the importance of housing that

meets the needs of people with disability and that housing is located in

places with employment opportunities, health care centres, schools and

other social services. The final condition is cultural adequacy, which

reinforces that housing respect the expression of culture and identity.

While urbanisation offers the opportunity to meet these conditions, poor

governance fuels inequality and disaster risk in many low and middle-

income countries (McClean, 2010).

The housing needs of poorer urban people are met in diverse ways that

often do not satisfy the criteria listed above. Many find accommodation by

building or buying homes in illegal settlements, while others rent in a

tenement building, a inexpensive boarding house or in an illegal

development (Hardoy and Satterthwaite, 1989). Some sleep in public

spaces such as graveyards or railway stations, paying gangs or local

officials to stay there (Hardoy and Satterthwaite, 1989). UN-Habitat

defines ‘informal settlement’ or ‘squatter settlement’ as lacking security of

tenure of land or housing; as neighbourhoods without basic services such

as power, sanitation, electricity and refuse collection; and as housing that

does not comply with planning and building regulations (Habitat III,

2015e). Meanwhile, ‘slums’ are often characterised by conditions of

depravity and exclusion (Habitat III, 2015e). Dovey and King write that ‘a

squatter lacks land tenure; a slum variously lacks space, durability, water

and sanitation; informality implies a lack of formal control over planning,


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design and construction’ (2011, p.12). However, terms like ‘informal’,

‘squatter’ and ‘slum’ are problematic because of negative connotations

that frame people in terms of what they lack. Therefore the more neutral

word ‘settlement’ will be used throughout the research.

For poorer urban people, proximity of housing to the location where one

can earn money is often a priority over the size and quality of housing

(Hardoy and Satterthwaite, 1989). Therefore situations of overcrowding in

settlements can become an issue. To this end, health and hygiene risks

increase where access to water and sanitation is lacking and the risk of

diseases such as diarrhea, dysentery and acute respiratory infection

grows. Children in settlements are particularly vulnerable to health risks

due to environmental decay (UNICEF UK, 2013). Satterthwaite (1989)

notes that when people have to cut the costs of living, many usually

sacrifice on their environment and live in places that are unsafe due to

factors such as pollution, overpopulation, frequent flooding and/or

landslides.

When natural hazards such as floods or cyclones strike, poorer urban

people are almost always significantly more exposed and vulnerable

because of housing with poor construction, design, workmanship and low-

quality building materials (Kyazze, Baizan and Carpenter, 2012). Moreover,

they are prone to receiving less housing assistance due to informal tenure

(McCallin and Scherer, 2015) because they are out of the formal system.

The British Red Cross (2012) notes that reconstruction of settlement

housing after a disaster can be further complicated by contested land

ownership, high costs of land, risks of reconstructing in the same

hazardous environmental locations and in areas that lack access to

services. To overcome challenges related to housing and access to basic

services, different settlement upgrading approaches have been employed

over the years. The next section analyses key approaches to low-income

housing provision.


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Settlement and ‘slum’ upgrading

Various approaches to settlement and ‘slum upgrading’ have been taken

over the years. The 1950s and 1960s established a trend of demolition of

settlements in the search for a ‘new Utopia’ through standardization and

mass production of housing, an approach that was intended to improve

living conditions by removing obstacles to ‘modernisation’ (Hamdi, 2010),

as was described earlier in this chapter concerning development theory.

However, this approach was socially disruptive (Abbott, 2002), and was

subsequently replaced in the 1970s by a ‘sites and services’ approach

where urban lots were provided for people to incrementally build their

own homes (Jaitman and Brakarz, 2013). Instead of removing settlements,

governments focused on the provision of ‘in land regularisation,

infrastructure planning, security of tenure, self-build opportunity and

credit provision’ (Hamdi, 2010, p.3). Turner’s (1976) approach to housing

highly influenced thinking about shelter, with Turner’s observation that,

for many, housing should be treated ‘as a verb’ (i.e it is what a house does

for the owner that matters, such as providing income earning

opportunities), and also that housing can serve as an intergenerational

asset (Sanderson, 2009a).

However, the sites and services method was perceived to have failed by

some because it displaced people from the city centre and their jobs to

the periphery; banks were uninterested in providing loans to poorer

people who were not guaranteed to repay debt; programmes were often

taken over by less poor people; and governments needed to continue to

pay large subsidies for land and infrastructure, which was not an

affordable long-term solution (Hamdi, 2010).

Building largely on Turner’s thinking, in the 1980s an in-situ upgrading

approach took hold where low-income neighbourhoods were better


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integrated into cities through social and economic strategies such as

networks and savings groups in addition to physical upgrading. Some new

homes were built, but the primary focus was on ‘upgrading’ existing

housing stock through ‘integrated development projects’ that offered

loans to improve housing, sanitation, electricity, sewerage and streets

(Hamdi and Geothert, 1997). Legalisation of land tenure was also a key

area of focus (Hamdi, 2010). In Thailand, and in many other countries,

upgrading was dominated by different ministries, local authorities and

government agencies, many of which had siloed approaches to dealing

with the interconnected aspects of a poor neighbourhood, failing to

address root causes of everyday and disaster risk (Boonyabancha, 2009).

In-situ upgrading is most noted for its success in places where

governments have made political commitments to large-scale upgrading

programmes ‘in parallel with legal and regulatory reforms in land policy

and land regularization’ (Jaitman and Brakarz, 2013, p.5) and where

poorer people have worked collectively to tackle their own poverty and

exclusion (Boonyabancha, Carcellar and Kerr, 2012). Currently upgrading

approaches on the whole promote tenure legalisation and in-situ

upgrading with a focus on participation between settlement dwellers,

institutions and governments and incremental change (Hamdi, 2010).

In summary, looking at the different aspects of urban form demonstrates

that settlements are often spatially segregated from the wider-city and are

excluded from conditions that protect people from everyday and disaster

risk, but that there are ways to address housing and services challenges.

The next section analyses the city from a CAS perspective, looking

specifically at economic, governance and social CAS. These systems have

been chosen to compliment the urban form analysis in this section.

2.1.4 Economic complex adaptive systems


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Economic CAS are defined as systems that provide economic benefits such

as money, markets, businesses, rent, jobs, savings, loans, credit,

ownership and skills. Different economic CAS operate throughout the city

at different scales. For example, imports and exports at a national level

impact the local level; the health of the global financial market impacts the

health of a city’s local markets and the way in which economic forces

affect an individual’s ability to carry out small-scale trade. Cities thrive on

commerce, cash and competition driven by global, regional and local

forces; therefore access to key economic systems such as markets, jobs,

savings, loans, credit, land ownership or skills that enable participation in

different economic systems is crucial for people. For poorer people, access

to economic capital is one of the most effective tools to escape poverty

(Moser, 2006). The British Red Cross (2012) states that after a disaster,

some of the key economic challenges faced by poorer urban people

include inadequate or unstable income, high levels of unemployment, the

need for cash to meet basic needs and the lack of skills necessary to

survive in a market economy. De Soto (2000) argues that turning

informality into formality would allow poorer people to convert informal

savings and investments in housing and businesses into meaningful ways

to generate capital. Having explained what an economic CAS is, the next

section will focus on the opportunities and challenges for specific

components of economic CAS, including land, markets and microfinance.

Land

When land rights are adequately documented land can be turned into

capital to be used as a loan, as investment or traded within broad circles

(de Soto, 2000). A report on the impact of displacement after disaster by

the Internal Displacement Monitoring Centre (IDMC) found that housing

responses tended to favour people with secure tenure to the exclusion of

people living in settlements, including tenants (McCallin and Scherer,

2015). To this end, lack of access to land tenure can make people more

vulnerable. While more work is required to understand how the


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humanitarian sector can better provide support to different degrees of

land ownership and access after a disaster, some examples include land

pooling and re-allocation (Dodman et al., 2013); working with land owners

or municipalities on strengthening tenure; regularising informal

settlements, acquiring private land or allocating public plots for housing

(McCallin and Scherer, 2015). Such measures require cooperation

between multiple stakeholders including the government, development

and humanitarian partners.

Cash, markets and employment

Poorer people generally have unstable or inadequate income before a

disaster strikes. To this end, access to cash, markets and some form of

employment is crucial to meet basic needs. In a review of evidence of

what works in urban disaster recovery, Sanderson and Knox Clarke (2012),

found that cash transfer programmes (an alternative to in-kind

distribution where people are given money instead of goods) can meet

immediate and recovery needs after a disaster, and may in fact be

preferable to cash for work (Harvey and Bailey, 2015). Cash programming

is increasingly being used in humanitarian response in urban settings (as

well as elsewhere) (Sanderson and Willison, 2014; Clermont et al., 2011)

as ‘the default setting’ due to the fact that people in cities rely on cash to

meet their basic needs, thereby increasing reliance on local markets

(Kyazze, Baizan and Carpenter, 2012). The Cash and Learning Partnership

(CaLP) organisation writes that cash programming in urban disaster

environments aims to ‘improve speed, appropriateness, and efficiency in

humanitarian programmes’, pointing out that cash responses tend to build

the resilience of markets while capitalising on different states of urban

connectivity (Cross and Johnston, 2011, p.vi). After a disaster, rebuilding

livelihoods requires integration in the urban economy, working with

market systems and the private sector to identify employment

opportunities and microfinance institutions that can support recovery

(Grunewald et al., 2011).


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Microfinance

Microfinance, in the sense of providing formal lending services to poorer

people through microcredit schemes, was made popular in the early 1970s

(Hossain, Rees and Knight Millar, 2012) by pioneers such as the Grameen

Bank, Self Employed Women’s Association (SEWA) in India and Accion

International in Latin America (Sundaresan, 2008). Microfinance later

included other services such as savings and insurance (Roodman, 2012).

Between the 1980s-1990s NGOs and non-bank financial institutions set up

their own microfinance models as ‘group lending’ and ‘self-help groups’

(Sundaresan, 2008). Yunnus, a pioneer of microfinance and founder of

Bangladesh’s Grameen Bank writes that microfinance is ‘not a miracle cure

that can eliminate poverty in one fell swoop. But it can end poverty for

many and reduce its severity for others (Yunnus, 2003, p.171).

Microfinance is most effective when paired with access to education,

health care and advances to technology such as mobile phones and

biometrics (Yunnus, 2003). It has also been an effective tool to empower

women to expand their financial asset bases (Moser, 2006). Microfinance

in groups can alleviate livelihood shocks and reduce chronic poverty

stresses (Devereux, 2002) through providing means to purchase or replace

tools such as food carts, which may have been destroyed in a disaster.

Moreover, collective action through activities such as group lending can

contribute to the creation of positive social capital (the networks and

quality of relationship people have with each other (Woolcock and

Narayan, 2000)) such as when people build higher levels of trust between

members of the lending groups.

Having explained the ways in which economic systems interact to create

risks and opportunities for poorer people living in cities, the next section


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will analyse governance systems for managing institutions and policies in

urban areas.

2.1.5 Governance complex adaptive systems

Governance CAS involve the organisation of power and decision-making by

entities such as civil society, the government, institutions, leaders and

networks through frameworks such as planning policies and legal systems

(Resilience Alliance, 2007). Governance concerns the management of a

country’s affairs at all levels. It includes the mechanisms, decision-making

processes and institutions that mediate the interest of governments, civil

society, the private sector and all other relevant groups within the rule of

law (UNDP, 2010). Governance includes, ‘formal and explicit mechanisms

such as legislation, policies, mandatory standards and administrative

procedures through which societies are organized as well as the wide

range of informal and implicit arrangements that mediate social, economic

and political relationships and the management of territory and resources’

(UNISDR, 2005a). A key point to note is that governance is broader than

government; it includes the interaction between formal institutions and

civil society (de Haan, 2009).

Good governance

In the aid sector ‘good governance’ dominates the literature, specifically in

terms of defining what good governance means (Botchway, 2000). Good

governance is understood to include institutional processes that are

transparent, free of corruption, accountable, inclusive, efficient and follow

the rule of law (UNESCAP, 2013; Maldonado, 2010; Weiss, 2000). Pelling

(2011b) notes that good governance includes a strong civil society and

collaboration while Uddin (2013) emphasises the importance of

decentralised and devolved decision-making systems. Wide stakeholder

engagement at a variety of levels is also crucial in disaster governance

(Gall, Cutter and Nguyen, 2014), however coordinating decisions and

activities between a wide spectrum of stakeholders is a particular


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challenge (Grunewald et al., 2011) alongside working with governments

who often lack authority, capacity and knowledge (Brown et al., 2015).

Exclusion from decision-making

Sanderson and Knox Clarke note that ‘Many urban residents, especially

those living in informal settlements, are largely excluded from formal

governance processes and services’ and furthermore, that informal

settlements have a distrust of public-private partnership and the potential

influence on planning priorities and agendas (2012, p.14). Exclusion from

such processes can hinder a sense of ownership in disaster recovery

processes, which is necessary for achieving sustainability, resilience and

long-term effectiveness of activities in the recovery (Sanderson and Knox

Clarke, 2012).

Urban laws and planning

As stated earlier, governance also includes urban law, defined by Habitat

III as a collection of ‘policies, laws, decisions and practices that govern the

management and development of the urban environment’ (Habitat III,

2015d, p.1). When laws or policies are ineffective or are an inappropriate

reflection of the realities on the ground, informality grows, denying large

parts of society the opportunity to participate in a range of social,

economic and political decision-making processes (Habitat III, 2015d).

Moreover, few national and international disaster management agencies

work with urban governments and communities to identify and act upon

the urban processes that are a source of disaster risk (Bull-Kamanga et al.,

2003). The IFRC’s 2015 World Disasters Report on local actors notes that

supporting coordination of decision-making regarding disaster risk

management (DRM) across diverse governance stakeholders is an

effective way for agencies to engage with urban governance. The report

states, ‘when it is well done, mainstreaming disaster risk reduction into

development planning is a sustainable method to improve resilience and


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reduce vulnerability in a country’ between local actors (Hamza, 2015,

p.54). To address the challenges of informality, rising inequality and

disaster risk, a DFID funded report entitled, Future Proofing Cities suggests

coordination is required across ‘infrastructure, engineering, environment,

planning, design, economics, and social science professions to help cities

develop solutions at the nexus between urban planning, transport, water,

energy, waste, agriculture, ecosystems, and design and architecture (Allen

et al., 2012, p.9). Having explained the conceptualisation of governance

CAS, the next section presents key challenges and opportunities within

social CAS.

2.1.6 Social complex adaptive systems

Social CAS are defined by social interaction such as networks, social

capital, discrimination, culture and values. Social CAS also includes social

services such as education, welfare and healthcare (Resilience Alliance,

2007). This section analyses the ways in which networks, partnerships,

participation, social capital and social services provide opportunities and

challenges for poorer people living in cities.

Networks

Boonyabancha et al. (2012) observe that networks are the ‘greatest force’

for tackling poverty and exclusion when they are comprised of people who

experience poverty and exclusion themselves, reasoning that such people

have the greatest motivation to change their situation. Networks can have

a cross-scalar function at a neighbourhood, city and national level as seen

by the Asian Cities Climate Change Resilience Network (ACCCRN) and Baan

Mankong in Thailand (Boonyabancha, 2005) or at a global level as seen in

UNISDR’s Making Cities Resilient Campaign (Johnson and Blackburn, 2014).

They can create space for new collaborations (Boonyabancha, Carcellar

and Kerr, 2012) to address everyday risks and disaster shocks. ACCCRN’s

work on city resilience in Asia highlighted that when networks include

policy and advocacy work at national levels of governance there is a


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greater chance of influencing and shaping change at a state level (Bahadur

and Tanner, 2014). Networks empower poorer people in cities to

negotiate access to land, loans and public utilities as well as policy change

for housing regulations that better suit their context, for example by

permitting houses to be built closer together. Balances of power are

shifted when networks of people form and work together in the absence

of possessing monetary wealth. Moreover, networks build social

relationships between people, creating the potential for societal

transformation.

Partnerships

Partnerships, also known as ways of working together for mutual gain, are

particularly important ways of collaborating to achieve ‘a common goal

[that] can be reached by satisfying partner needs while sharing risks and

rewards along the way (Rein et al., 2005, p.3). Partnership models draw on

development thinking and other disciplines to understand the different

ways in which people work together. Multi-sectoral partnerships in urban

areas are crucial within a city due to the centralisation of services such as

water and the subsequent multiple levels of accountability that is required

for such services to run reliably and effectively (Reed, 2007).

Sanderson and Knox Clarke (2012) write that in an urban disaster the scale

and complexity of immediate assistance and long-term recovery increases

the need to work in partnerships, and that the most effective partnerships

are likely to be those established ahead of a disaster. However, for some,

partnership is an idealised concept. Hamdi observes that partnership is

‘one of those motherhood words incorporating everything good and

desirable – mutual respect, accountability, transparency, shared values,

shared objectives and the mutual pursuit of ends and means’ (2004, p.29).

Principles of partnership is an important component of humanitarian

response (Hancock, 2009) that can assist with grounding the desirable in

clearly defined reality by using contracts, for example.


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The asymmetry of participation

Much like partnership, participation is a concept that suggests

inclusiveness and mutual opportunity to contribute to an agreed upon

goal, however it suffers from similar critiques as partnership does in

relation to the sharing of power. The World Bank defines participation as

‘A process through which stakeholders influence and share control over

development initiatives and the decisions and resources which affect

them’ (World Bank, 2007, p.3). Moser defines ‘genuine’ participation as

‘an inevitable sharing and then transfer of power involved as social groups

deliberately attempt to control their own lives and improve their living

conditions’ (1983, p.4). Definitions that discuss power in relation to

participation stem from the belief that economic and social policies and

institutions (including formal and informal) determine who participates

and who does not (Moser, 1995). Guimaraes (2009) observes that

participation is strongly influenced by cultural understandings of roles and

responsibilities; social norms; and the presence or absence of governance

structures that promote positive participation.

Participation of poorer people in decision-making in the city can be

difficult due to the heterogeneity of urban ‘communities’ (Bahadur and

Tanner, 2014). Pimbert and Pretty (1997) write that there are seven types

of participation, including: passive participation, participation in

information giving, participation by consultation, participation for material

incentives, functional participation, interactive participation and self

mobilisation. Linked to participation, is the notion of two-way

communication between people who provide aid and recipients of aid.

Anderson et al.’s Time to Listen project interviewed 6,000 people who

have received or given international aid from across the world, and found


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among other things, that there was an ‘information gap at every phase of

international assistance’ (2012, p.114). The project also concluded that aid

recipients wanted to know more about recipient selection criteria, project

objectives and timeframes and funding information’ in order to not feel

‘sidelined’, ‘suspicious’ or ‘disappointed’ (Anderson, Brown and Jean,

2012, p.114).

Social capital

Social capital operates as one of many sub-systems within the larger

system of social dynamics, and can be described as the ability to accrue

resources through membership in social groups that take collective action

guided by specific social norms (Portes and Landolt, 2000). Aldrich (2012)

argues that high levels of social capital are at the core of disaster recovery.

Scholarship identifies many typologies of social capital, but amongst some

of the most common are three types: bonding, bridging and linking.

Bonding social capital is identified by forms of reciprocity and solidarity

between homogenous groups of people (Putnam, 2000) such as family

members, friends or neighbours (Woolcock and Narayan, 2000). Bonding

is comprised of horizontal or ‘intra’ bonds that tie together similar

individuals (Archer, 2009). In times of stress, such groups cope by giving

members short-term access to socio-economic support (Pelling, 2003).

Meanwhile, bridging social capital occurs when a homogenous core group

inter-relates with external groups that maintain the same horizontal

status, but are from different organisations, locations and identities

(Aldrich, 2012). Finally, linking capital can be defined as the vertical links

between different power gradients and hierarchy structures (Lin, 1999).

Archer (2009) observes that social capital is most valuable when horizontal

and vertical levels of interaction are promoted.

Social services: health care, education and cultural rights

The protection and promotion of access to social services such as

education, health care and cultural rights is another aspect of good


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development. However, when a disaster strikes oftentimes such

development gains can be set back (i.e. years of investment in social,

economic, physical, and political development interventions). Access to

health care in a disaster is crucial but it is likely for hospitals and clinics to

be damaged, and the ability to provide adequate service impeded due to

disruptions in the supply of power, medicine and human resources as well

as an increase in patient case loads (Brown et al., 2015). The Inter-Agency

Standing Committee’s (IASC) Operational Guidelines on Human Rights and

Natural Disasters (2006) states that measures should be taken to ensure

the return of children to education as quickly as possible without cost in

order to ensure children from families that can no longer afford schooling

are able to continue with their education. The guidelines also state that a

freedom of expression, association and religion should be respected when

planning humanitarian assistance and recovery in order to avoid

discrimination (Inter-Agency Standing Committee, 2006). Belief systems

within different cultures shape how people view disaster risk, therefore

understanding the variations of cultures in a city or a neighbourhood can

assist governments and other urban actors on how to communicate

disaster risk (Cannon and Schipper, 2014).

Having described key development theories that influenced the growth of

urban centres, the ways in which cities can be conceptualised through CAS

and urban morphology approaches, and the types of risks and

opportunities that exist within the urban form and economic, governance

and social systems, the next section of this chapter presents analysis of

key disaster theories and approaches.

2.2 Disaster

This section aims to explain key disaster theories that provide an

understanding of vulnerability and capacity in relation to urban areas. It

begins with an explanation of two key theories that illustrate the cause of


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a disaster – the Pressure and Release Model and the disaster management

cycle. It then explains key attempts to link disaster and development

paradigms before it closes with an explanation of disaster risk reductions

measures that were put in place to mitigate and prevent disaster risk.

2.2.1 Explaining disaster

Pressure and release model

The Pressure and Release Model (PRA), also often referred to as the

crunch model, developed by Wisner et al. (2004), describes disaster in

terms of vulnerability meeting a hazard. Vulnerability can be described as

susceptibility to damage or injury. Wisner et al. define it as, ‘the

characteristics of a person or group and their situation that influence their

capacity to anticipate, cope with, resist and recover from the impact of a

natural hazard (2004, p.11). Moreover, Cannon (2008) argues that for

vulnerability to be useful as a concept it must be predictive. Meanwhile, a

natural hazard can be defined as aspects of the physical environment that

cause harm such as an earthquake, flooding, drought and landslide

(Collins, 2009).

The PAR model is illustrated below in Figure 2.2.1a. The first box on the

left identifies root causes of risk such as social, economic, cultural, social

and political processes that create vulnerability (for example

neoliberalism). Dynamic pressures, indicated in the second box from the

left, channel root causes into processes such as rapid urbanisation. The

third box from the left identifies unsafe conditions, which are factors that

make an environment dangerous for people, for example having to work

in hazardous conditions such as a mine. Wisner et al. (2004) explain that

together, the three boxes on the left create a progression of vulnerability.

The diagram in Figure 2.2.1a bellows illustrates that when vulnerability

meets a hazard, disaster occurs. Twigg defines a disaster as, ‘What occurs

when the impact of a hazard on a section of society (causing death, injury,


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loss of property or economic losses) overwhelms that society’s ability to

cope’ (2004, p.13).


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Figure 2.2.1a: An interpretation of the Pressure and Release Model from (Wisner et al., 2004), which illustrates that a disaster occurs when vulnerability meets a hazard. Source: the author


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A version of the pressure aspect of the PAR model is often given in the

formulaic representation: Disaster = hazard x vulnerability (Wisner et al.,

2004), where the multiplier implies that both elements, hazard (the

natural phenomenon) and vulnerability need to be present for a disaster

to occur.

Disaster management cycle

Another way to understand the progression of disaster related

vulnerability in terms of time is through the disaster management cycle.

While there are different representations of the cycle, the focus of disaster

management is on three key stages: before, during and after a disaster,

commonly articulated through the categories of mitigation and

preparedness (before); the disaster itself (during); and relief, recovery and

rehabilitation (afterwards) (Collins, 2009). Preparedness consists of

measures taken before a disaster that reduce disaster risk (Twigg, 2004).

Early warning, a form of preparedness, is when a disaster is forecasted

ahead of time and those who will be affected are warned (Collins, 2009).

Mitigation is when actions are taken to reduce the scale of, or even

prevent, a disaster from occurring (Sanderson, 2009b). Examples include

structural measures such as building flood damns and non-structural

measures such as public education (Twigg, 2004). Relief, as defined by

IFRC, is when ‘goods and services [are] provided to meet the immediate

needs of disaster affected communities’ (IFRC, 2007a, p.8). Meanwhile,

recovery is understood as rebuilding and adapting physical, natural, social,

and economic aspects of a society in order to better withstand future risks

(Smith and Wenger, 2007). Lastly, rehabilitation is about using

development approaches to deal with the longer-term effects of the

disaster (Collins, 2009).

Collins highlights that the disaster management cycle includes disaster

prevention, noting: ‘the right type of development’ can prevent a disaster

and that a response to a disaster can ‘be part of the prevention of future


Page 54

disasters’ (Collins, 2009, p.28). However, there are critiques of the model.

In a study of 22 UK-based relief and development NGOs running disaster

risk reduction initiatives, Benson et al. (2002) found that in reality there is

no clear continuum of stages in disaster management, that disaster

recovery is not linear, and that aid agencies (agencies that receive money

from donors to conduct relief or development activities) often find

themselves conducting emergency programming within long-term

development projects and visa versa. DFID (2004) also critiqued the cycle

noting that it does not reflect successful preparedness and prevention

activities that avoid a disaster occurring. Additionally, the cycle infers that

after a disaster, things go back to ‘normal’ when ‘normal’ is what may

have resulted in the kind of vulnerability that enabled the disaster in the

first place (Sanderson, 2009a).

Having explained the origins of disasters through the PAR model and the

disaster management cycle, the next section will focus on theories and

models that link disasters and development.

2.2.2 Linking disaster and development

This section introduces key approaches that link disasters and

development thinking, including the linking relief, rehabilitation and

development (LRRD) approach; the access model; capacities and

vulnerabilities assessment; livelihoods approaches and disaster risk

reduction.

Linking relief, rehabilitation and development

Traditionally links between short-term humanitarian assistance and

longer-term development interventions have been difficult to

operationalise, therefore the concept of linking relief, rehabilitation and

development arose, but has been put into practice in a limited manner

(Mosel and Levine, 2014). LRRD attempts to reconcile short-term

objectives of saving lives with longer-term development objectives of


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reducing vulnerability and poverty, and considers the type of aid provided

within each area. To address the challenge of working in silos it was

argued that ‘Better ‘development’ can reduce the need for emergency

relief; better ‘relief’ can contribute to development; and better

‘rehabilitation’ can ease the transition between the two’ (Buchanan-Smith

and Maxwell, 1994, p.2).

LRRD derives from the African food crisis in the mid to late 1980s

(Buchanan-Smith and Fabbri, 2005) but grew into a larger discussion in the

1990s (Mosel and Levine, 2014) when it was used to address what are now

called complex emergencies, defined broadly as when total or considerate

breakdown of authority has occurred and an international response is

required (IFRC, 2015). Then, as now, the humanitarian sector was faced

with an increase in disasters setting back development gains, and had the

need to do more with less. However, there were several problems with

LRRD. Firstly, there was no agreed upon definition of the relief,

rehabilitation and development components of this approach, including

when they start and when they end (Otto and Weingärtner, 2013). Nor

was it a process driven by consultation with disaster-affected people; it

was about defining the type of aid that was required at different stages

and the types of solutions to the gray zone (the stage between relief and

development) (Buchanan-Smith and Fabbri, 2005). Moreover, LRRD is

critiqued for focusing on a one-way continuum: linking relief with

development and neglecting the importance of a contiguum, which would

imply movement in both directions (Harmer and Macrae, 2004).

Yet, Mosel and Levine (2014) argue that many people see resilience as the

best opportunity yet to achieve progress on LRRD by bringing together

relief and development thinking. Otto and Weingartner (2013) write that

resilience may be able to achieve an entry point for integrated

programming, an aspect of LRRD that was unclear.


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Having explained the key components of LRRD, the next section discusses

the strengths and weaknesses of the access model’s ability to link relief

and development.

Access model

The access model expands on the PAR model by focusing on the economic,

political, and social processes that impact people’s vulnerability and

exposure to physical hazards (Wisner et al., 2004). It is designed to

understand complex and varied processes that are associated with the

creation of unsafe conditions resulting from ‘economic and political

processes that allocate assets, income and other resources in a society’

(Wisner et al., 2004, p.92). Sanderson (2009a) notes the linear flow chart

model emphasises the nature of livelihood strategies in vulnerability

reduction and capacity building through the interplay of concepts such as

‘household’, ‘assets’, ‘the flow of power’ and ‘social relations’.

A household is defined by people who ‘live and eat’ under the same roof

(Rakodi, 2002, p.7). Assets are defined an asset as a ‘stock of financial,

human, natural or social resources that can be acquired, developed,

improved and transferred across generations’ (Ford Foundation, 2004,

p.9). An increase in five types of assets (physical, human, natural, financial

and environmental), which Moser (1998) calls ‘capital’ reduces people’s

vulnerability. A decrease in assets results in greater household insecurity

(Moser 1998). The Access Model analyses people’s access to assets, which

is controlled through power and social relations. Sanderson (2009a) notes

that the model was not adopted widely when it was developed in the

1990s, perhaps due to the popularity of the livelihoods model at the time.

Capacities and vulnerabilities analysis

The capacities and vulnerabilities analysis (CVA) by Anderson and

Woodrow (1998) also explores the relationships between disasters and

development. It is an assessment tool developed as a way for


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developmental priorities to be maintained while responding to disasters.

Shared by both development and disaster practitioners alike, Anderson

and Woodrow (1998) enable the classification of complex interactions

through the use of a simple matrix that services as a tool for identifying

vulnerabilities and capacities within three categories. The first is the

‘physical/material’ category that analyses the productive resources and

skills that exist within a community. The second is the

‘social/organisational’ category, which explores the types of relationships

and societal structures that organise people. The third is the

‘motivational/attitudinal’ category that seeks information about how the

community views its ability to create change. Figure 2.2.2 below shows the

CVA tool and its respective categories.

Figure 2.2.2a: Anderson and Woodrow’s (1998) CVA tool as interpreted by the author. Source: the author

The tool has many strengths, including its ease of use (Sanderson, 2009a);

its recognition of the physical and non-physical, including livelihoods

(which would fall into the physical/material category) (Twigg, 2004); and

its acknowledgment of capacity as an aspect of vulnerability, thereby


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valuing the skills and abilities disaster-affected people have to cope and

recover from a crisis (Sanderson and Sharma, 2008). Although it has been

critiqued for not including the hazard, which could change the types of

capacities and vulnerabilities that exist (Twigg, 2001).

Livelihoods

The livelihoods approach combines analysis of chronic stress (reoccurring

stressors that reduce one’s ability to cope) and disaster shocks. Moreover,

it places disasters within a wider development frame, which breaks away

from traditional approaches to disaster risk reduction that first seek to

identify hazards and risk and second identify development links (IFRC,

2004). While the word ‘livelihoods’ was first made prominent in the 1987

Brundland report, it was Scoones at the UK’s Institute of Development

Studies (IDS) who developed the first model, which was later made well

known by Chambers and Conway, and served as the basis for other

livelihood models (Sanderson, 2009b). Chambers and Conway define

livelihoods as, ‘…the capabilities, assets (stores, resources, claims and

access) and activities required for a means of living: a livelihood is

sustainable which can cope with and recover from stress and shocks,

maintain or enhance its capabilities and assets, and provide sustainable

livelihood opportunities for the next generation; and which contributes

net benefits to other livelihoods at the local and global levels and in the

short and long-term’ (1991, p.6).

Chambers and Conway’s (1991) definition encompasses three relational

areas of capability, equity and sustainability while focusing on shocks

(sudden events that impact vulnerability such as floods and fires) and

stresses (cumulative and continuous pressures such as rapid urbanisation).

Oxfam later developed a model from which Carney (1998) subsequently

developed for DFID into a widely used approach. Carney’s 1998 model

brought together the concepts of vulnerability, assets, access and control.

It was widely influential and adopted within a number of international


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developmental organisations. Carney’s model, as had Oxfam’s, highlighted

the importance of household level assets. This was depicted as the ‘assets

pentagon’ within the model.

DFID’s Infrastructure and Urban Development Division (IUDD)

subsequently commissioned the Development Planning Unit (DPU) at

University College London (UCL) to develop an urban livelihoods approach,

reasoning that rural models do not reflect the ‘depth and scale’ of urban

poverty and that there was an overall lack of urban tools and approaches

targeting development and disasters together (Sanderson, 2009a, p.28).

Meikle et al. (2001) write that while the household is placed at the centre

with an emphaisis on assets and how they change over time, there are

notable differences between Carney’s model and the DPU model. From an

economic perspective, the DPU model highlights the important of a cash

based economy; socially it underscores the importance of social capital; in

governance it emphasises the multiple layers of actors from a local to a

national scale; and from an environmental perspective it notes the impact

of population density, pollution and hazardous living conditions.

Furthermore, Meikle et al. (2001) write that in urban areas, assets that are

not personally owned are important for reducing vulnerability, for

example electricity lines.

There are multiple of critiques of the sustainable livelihoods model. By the

mid-2000s a number of agencies dropped the model because it was found

to be difficult to operationalise, especially for those with sectoral

mandates who were unsure how to implement their work in a holistic way

as per the model (Sanderson, 2009b). Pinder (2009) notes that the main

constraint with the livelihoods approach is that it works at the micro level,

making it difficult to scale-up and include things like markets and policy.

Other critiques include that it does not lead to conclusions for programme

design; lacks analysis of power dimensions (particularly in relation to


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gender and social exclusion) and is limited in the evidence it provides that

the approach reduces poverty (Pinder, 2009).

Finally, it is worth noting that upon reflection on the differences and

similarities between livelihoods and resilience, Sanderson (2009a)

highlights that the two concepts share a common foundation. While

livelihoods uses household as a unit of measurement, resilience uses

communities; livelihoods uses the word ‘assets’ and phrases like ‘coping

and recovering from’, while resilience uses ‘systems’ and talks about

‘bouncing back’ and ‘adapting’ to future threats. Therefore, Sanderson

(2009a) recommended that in the emerging presence of resilience,

sustainable livelihoods changes its name to ‘resilience and livelihoods’ and

talk about ‘building resilience’ instead of increasing assets.

Disaster mitigation and preparedness, and disaster risk reduction

Another concept that attempted to link disasters and development was

disaster mitigation and preparedness (DMP), which is observed by

Christopolos et al. (2001) as a concept that lived in the shadows of

humanitarian and development aid because it did not ‘save lives’ or

‘reduce poverty’. DMP is about risk management and is concerned with

minimising the effects of disasters while taking precautionary measures to

prepare for risk (Christoplos, Liljelund and Mitchell, 2001). However,

disaster risk reduction (DRR), which came to the fore in the early 2000s, is

the concept more broadly embraced by the aid sector today with its focus

on ‘policies, strategies and practices to reduce vulnerabilities and disaster

risks throughout society’ (Twigg, 2015, p.6). DFID defines DRR as ‘policies

and practices to minimise (with a view to longer-term prevention) disaster

losses’ (DFID, 2004, p.17). DRR and climate change adaptation (or CCA,

which is understood as adjustments to actual or explicit climate events

that can cause harm to human and natural systems) are often described as

sharing a common focus. UNISDR and UNDP note ‘there is little practical

difference between the two’ and therefore suggest in their report on


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Disaster Risk Reduction and Climate Change in the Pacific that

opportunities for working together should be sought in order to ease

programming duplication, avoid potential policy conflicts and use limited

resources wisely (Hay, 2012, p.ii).

Having explained how different approaches to linking disasters and

development have manifested throughout the years, the next section will

provide analysis of the key debates and discussions within the concept of

resilience.

2.3 Resilience

This section comprises a literature review of the theory and practice of

resilience. The theory section traces the evolution of resilience and then

analyses how the word is defined from three perspectives relevant to this

research, namely, socio-ecological, disaster and urban. It then explains the

key conceptual debates that highlight the strengths and weaknesses of the

word when applied to urban disaster.

The practice of resilience analyses practical debates about operationalising

resilience. It then analyses global policies that turn the concept of

resilience into practical actions. A review of a selection of operational

frameworks is then presented, further investigating how resilience is put

into practice in disaster affected communities and neighbourhoods. This

section ends with a definition of urban disaster resilience that will be used

to frame the research.

2.3.1 Theory of resilience

This section investigates the evolution of resilience. It then analyses the

different ways in which resilience can be defined. Key conceptual debates

are then presented for analysis.


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Evolution of resilience

Resilience can be understood in multiple ways. It was first used in

sciences, humanities, political and legal disciplines before it was adopted

by social science and sustainability researchers (Alexander, 2013). The

word ‘resilience’ originates from the Latin word ‘resilire’ or ‘resilio’ and

means ‘bounce’, which is where the concept of ‘bouncing back’ appears to

have arisen from (Manyena, 2006). Tracing the etymology of resilience,

Alexander writes that uses of the word resilience are marred in a history of

positive and negative connotations whereby resilience can be understood

positively as ‘leaping, jumping or rebounding’ or be interpreted negatively

as ‘retracting’, ‘recoiling’, or ‘desisting’ (2013, p.2708).

Alexander (2013) also notes that resilience was first documented in English

in 1625 in relation to natural history, and then again in 1858 in a

discussion of robustness in mechanics and later still in the 1950s in

psychology, specifically in relation to child psychology, and finally in the

1990s where it reached human ecology and social sciences, specifically in

relation to the ways in which people adapt to their environment.

However, others challenge this, writing that resilience originates from

ecology (Batabyal, 1998; Djalante, Holley and Thomalla, 2011).

While the history of resilience is somewhat contested, what can be said is

that Holling’s 1973 paper, ‘Resilience and Stability of Ecological Systems’,

gave resilience prominence in relation to systems theory and ecology,

which is believed to be the foundation of resilience in social sciences

(Adger, 2000). By the 1980s resilience was increasingly used to analyse

interactions between humans and the environment (Janssen et al., 2006).

In 1999 in the humanitarian action sphere the Resilience Alliance was

formed in order to develop an interdisciplinary approach to resilience with

some agreed upon core fundamentals (Janssen et al., 2006).


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Defining resilience

The qualities emphasised in the concept of resilience vary depending on

the discipline from which resilience is defined. Disaster management and

socio-ecology have a strong focus on environmental and human

interaction, which means an understanding of resilience from a socio-

ecological perspective can be helpful.

a.) Socio-ecological resilience

Socio-ecological resilience is when transformation, development and

sustainability occur through processes of reorganisation, learning,

adapting and building capacity (Bruijne, Boin and van Eeten, 2010). The

assumption is that disturbances within systems have the potential to

create opportunity for change when control shifts between different

variables, transforming relationship dynamics and the power to influence

or provoke change (Folke, 2006). Folke states that resilience is ‘…about the

opportunities that disturbance opens up in terms of the recombination of

evolved structures and processes, renewal of the system and emergence

of new trajectories’ (Folke, 2006, p.259).

Holling argues that there are two faces of ecological resilience (2010), and

the difference is in the stability aspect. The first is described as a

traditional perspective that values single state equilibrium by focusing on

‘efficiency, constancy and predictability – all attributes of a core engineers

fail-safe design’ (Holling, 2010, p.53). The second definition is ‘far from any

equilibrium steady state’ and focuses on, ‘persistence, change and

unpredictability – all attributes embraced and celebrated… by those who

search for safe-fail designs’ (Holling, 2010, p.53). This definition measures

resilience by how much disturbance a system can manage before the

system changes its shape and structure (Holling, 2010). It is the second

definition of resilience from which the paradigms of urban and disaster

resilience are linked. Disaster and urban resilience paradigms are

interested in understanding the characteristics (Twigg, 2009; ARUP, 2011)


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of a system that firstly build a system’s ability to tolerate stress and

secondly that result in positive change when a disturbance takes place

(Cutter et al., 2008).

b.) Disaster resilience

Resilience is a theme that ties together disaster and development contexts

(Luthar and Cicchetti, 2000). Manyena defines disaster resilience as, ‘the

intrinsic capacity of a system, community or society predisposed to a

shock or stress to adapt and survive by changing its non-essential

attributes and rebuilding itself (Manyena, 2006, p.443). Combaz defines it

as, ‘… the ability of individuals, communities, organisations and states to

adapt to and recover from hazards, shocks or stresses without

compromising long-term prospects for development’ (2015, p.2). DFID

defines disaster resilience as, ‘the ability of countries, communities and

households to manage change, by maintaining or transforming living

standards in the face of shocks or stresses – such as earthquakes, drought

or violent conflict – without compromising their long-term prospects’

(DFID, 2011a, p.6). UNISDR defines resilience as, ‘The ability of a system,

community or society, exposed to hazards to resist, absorb, accommodate

to and recover from the effects of a hazard in a timely and efficient

manner, including through the preservation and restoration of its essential

basic structure and functions’ (Blackburn and Johnson, 2012, p.92).

These definitions share four common elements. Firstly, they place

emphasis on coping with shocks and stresses. Secondly, they emphasise

recovery. UNISDR in particular qualifies the kind of recovery by adding the

word ‘timely’ to its definition. Thirdly, all the definitions include direct

reference or inference to adaptation. Manyena (2006) and Combaz (2015)

use the word adaptation while DFID (2011a) and UNISDR (2012) use the

words ‘transforming’ and ‘accommodate’ respectively. Fourthly, all of the

definitions mention survival of long-term prospects, encapsulating a

development perspective. Manyena’s (2006) link is perhaps the least


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strong with a mention of ‘rebuilding itself’ while Combaz (2015) and DFID

use the same phrase, ‘without compromising long-term prospects for

development’. UNISDR (2012) draws in a development angle through its

focus on the, ‘preservation and restoration of essential basic structure and

services’ in its definition.

From a development and disaster management perspective, many factors

affect the ability to be resilient. For example, a 2012 IIED report on the

nature of urban risk states that high-income countries with appropriate

financial, institutional and governance frameworks will have better

resistance against shocks (Dodman et al., 2013). Much of this is due to the

fact that basic infrastructure is safe and services reliable. Risks are often

forecasted and prepared for. Resistance against shocks is more difficult in

low-income countries due to gaps within the economic, institutional and

social aspects of disaster risk management and safe urban development

(The Government Office for Science, 2012).

According to Demchak (2010), other factors of importance include the

ability to forecast, adapt and collectively problem solve along side the

presence of trust, collaboration and knowledge. In studies on the military,

Demchak found that ‘repeated interactions are necessary to build the

foundations for resilience, blending the social with the technical for

collaborative knowledge development’ (Demchak, 2010, p.74).

c.) Urban resilience

When investigating resilience in cities, physical and human elements

comprise a large portion of the literature on what it means to be resilient.

Physical elements broadly refers to infrastructure within the constructed

and natural environment, while human components are often categorised

as formal or informal social, economic and governance elements

(Godschalk, 2003).


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Within many of the urban resilience definitions a reference to being able

to withstand or cope with hazards is often mentioned. For example,

UNISDR’s Making Cities Resilient Campaign uses the following definition:

‘A resilient city is characterised by its capacity to withstand or absorb the

impact of a hazard through resistance or adaptation, which enable it to

maintain certain basic functions and structures during a crisis, and bounce

back or recover from an event’ (Twigg, 2007 in UNISDR's terminology,

Blackburn and Johnson, 2012, p.11). Blackburn and Johnson note a focus

on process can also build urban resilience such as, ‘the process of

urbanisation and planning; through sound development practices;

inclusive political processes; and disaster risk reduction activities by

government, citizens and other stakeholders’ (2012, p.11).

Urban resilience is defined by da Silva in the City Resilience Framework as,

‘the capacity of individuals, communities, institutions, businesses, and

systems within a city to survive, adapt, and grow no matter what kinds of

chronic stresses and acute shocks they experience’ (2014, p.3). This

definition takes shocks and stresses into account, and highlights that

urban resilience occurs at different scales. Moreover, this definition

conceptualises the city through a systems lens.

Godschalk further focuses on systems in his definition of urban resilience,

stating that ‘A resilient city is a sustainable network of physical systems

and human communities’ (2003, p.137). The definition also raises the

concept of sustainability as does the definition by the International Council

for Local Environmental Initiatives (ICLEI), which states that ‘Resilient cities

reduce vulnerability to extreme events and respond creatively to

economic, social and environmental change in order to increase their long-

term sustainability’ (2015, p.np). ICLEI’s definition highlights the

importance of understanding urban nuances and the diverse ways of

influencing change when it continues to say, ‘Resilient city activities are

sensitive to distinctive unique local conditions and origins… As such,


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resilient cities define a comprehensive ‘urban resilience’ concept and

policy agenda with implications in the fields of urban governance,

infrastructure, finance, design, social and economic development, and

environmental / resource management’ (2015, p.np).

Other definitions of urban resilience, such as the one from UN-Habitat’s

New Urban Agenda take more of a risk-based approach to analysing

vulnerability, exposure and preparedness for protecting physical assets

and human life. UN-Habitat’s definition also takes a systems approach to

the city, stating that ‘the factors that influence a city’s resilience include

the range and severity of hazards; the risk to lives and property; the

vulnerability and exposure of human, social, and environmental systems,

and; the degree of preparedness of both physical and governance systems

to any shock or stress’ (2015f, p.2).

Having analysed various definitions of resilience from a socio-ecological,

disaster and urban perspective, an analysis of conceptual debates about

resilience will now be presented.

Conceptual elements of resilience

This section outlines key conceptual elements of resilience, analysing

representations and debates commonly found in the literature.

Resilience has been critiqued for largely being a theoretical construct, an

umbrella term that encompasses everything good and desirable (Bruijne,

Boin and van Eeten, 2010). Bahadur et al. (2010) suggest the lack of

specificity in definition comes from a weak link between research and

practice. Tanner et al. argue that the wide applicability of the word can

sometimes be its shortfall because without context and nuance, it risks

becoming a ‘catch-all buzzword’, a concept possibly too vague to be useful

(2015, p.3).


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Due to its broad range of applicability, defining resilience for whom, and to

what, provides a way of adding clarity to the concept. As established

above, resilience can be used within a wide range of disciplines and

paradigms. Within the disaster and development paradigm resilience can

be used in relation to aspects related to climate change (Joakim, Mortsch

and Oulahen, 2015), DRR (Kelman, Gaillard and Mercer, 2015) or conflict

(Chandler, 2015). Defining resilience for whom is important when

interrogating disaster resilience in cities because one hazard such as

flooding, may identify traditionally vulnerable groups, while another

hazard such as earthquakes, may identify some non-traditional groups i.e.

middle class people who build multi-storey homes without adhering to

building codes (Bahadur and Tanner, 2014).

There are strong links between resilience and livelihoods theory

(Sanderson, 2016). For Cannon (2008), strengthening the resilience of a

system is about strengthening and protecting livelihoods. The debate on

how to protect livelihoods from a disaster then enters the realm of

livelihoods theory with analysis of assets, power, capacity and vulnerability

in a range of social, economic, political, environmental and physical ways

described in Wisner et al.’s (2004) Access Model in section 2.2 above.

Perhaps one of the biggest arguments in favour of resilience is the

opportunity it affords people to build upon what already exists. Resilience

frames problems in a positive light while concepts like disaster risk

reduction implies a need to ‘reduce’. While some may call it splitting hairs,

Manyena writes that the social metaphors we use have important

implications because ‘…words are prisons, as well as searchlights and

pigeonholes, for what we see’ (2006, p.436). Taking action towards a

better future for individuals, neighbourhoods and cities means aspiring to

do more than attain the minimum standards for coping (McEntire et al.,


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2002). Resilience thinking in disasters and development is about more

than mere survival; it is about having the opportunity to thrive.

It has been argued that resilience can be understood as a process, an

outcome, (Bahadur, Ibrahim and Tanner, 2010; Ahmed, 2006; Manyena,

2006) and a goal (McCreight, 2010), creating potential for further

conceptual confusion. McCreight (2010) views resilience as a goal of

restoring civil and public safety, economic and governance operations

after a disaster, even if it takes years to achieve. While viewing resilience

as a goal is not wholly negative, it has been criticised for setting the

standard of disaster management too low, and it is on this basis that

Manyena (2006) argues resilience is more than restoration or survival, that

its about the aspiration for a better life.

Resilience as an outcome has also been critised by Manyena as being too

reactive and response driven by its focus on concepts such as ‘cope’,

‘bounce back’, ‘withstand’, ‘absorb negative impacts’ without addressing

the preparedness aspect of resilience. Meanwhile, Kaplan (1999) views

resilience as a desired outcome of a process. Viewing resilience as a

process means disaster resilience is seen as a characteristic, quality or

result generated by a process (Bahadur, Ibrahim and Tanner, 2010). While

the difference might seem small, a minimum consensus on the defining

features of resilience as a goal, outcome or process may assist with the

ability of different disciplines to interface on the topic (Quarantelli, 1995).

Resilience has a history of being criticized for promoting the status quo by

enabling systems or communities to ‘bounce back’ (Twigg, 2009).

Therefore, proponents of resilience prefer to talk about ‘bouncing

forward’, suggesting disasters as a potential opportunity (Folke, 2006) for

systems to metastasise and adapt into new shapes that improve their

operation. Some scholars believe that bouncing back and maintaining the

same core functions can be reckless, and sometimes even dangerous,

when the status quo is one of corrupt governance, flailing economic


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policies and restricted civil rights (Pelling, 2011a). Berkhout (2008)

observes that resilience has a ‘dark side’ and that there may be good

reasons for wanting to transform a system such as slavery, terrorist groups

or fossil fuel-based energy. When the state of return is undesirable,

transformation is sometimes suggested as an alternative. Pelling (2011a)

proposes transformation is on the same continuum as resilience but offers

a regime change when power dynamics are unequal and unjust. Due to

the emphasis on shifting power, Bahadur and Tanner (2014) argue that

resilience ought to be coupled with transformation.

Perhaps the debate about state of return could be assisted in part with

clarifications in the conceptual relationship between resilience and

adaptation (Gallopin, 2007; Bahadur, Ibrahim and Tanner, 2010; Manyena,

2006; Ahmed, 2006). While some view adaptation and resilience as

interchangeable terms (Ahmed, 2006), others understand adaptation to

be a separate concept, usually linked to climate change (Pelling, 2011a).

Adaptive capacity is often included in the definition of resilience because a

response to unanticipated risks requires a degree of flexibility (Johnson

and Blackburn, 2014). Surjan et al. view adaptation as separate from

resilience but with what they call ‘an unavoidable association’ (2011,

p.30). Janssen et al. (2006) propose that there may always be difference in

how academics understand the concepts of resilience and adaptation due

to the different knowledge domains each one originates from.

Resilience can be critiqued for not recognising the role of power (Friend

and MacClune, 2013). In an Annual Resilience Scan for ODI, Tanner et al.

(2015) write that ‘calls for more attention to political, power and

normative dimensions [of resilience] have now reached a critical mass’.

Moreover, a systems approach to resilience is critiqued for its emphasis on

physical systems and not humans within the systems (Bahadur and

Tanner, 2014). However, there are a number of conceptualisations and

frameworks that emphasize power, social justice and equity. Mayunga


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(2007) views resilience as a determined by five capitals commonly used in

the sustainable livelihoods approach: social, economic, human, physical

and natural. Adger (2001) defines resilience in relation to the ability of

communities to withstand shocks to their social infrastructure. The

Resilience Alliance (2007) approaches resilience from the perspective of

how much change a system can endure and still function, placing an

emphasis on stability, self-organisation and learning, all human

components. Twigg (2009) uses the Hyogo Framework for Action to define

components and characteristics of resilience based on five thematic areas

of governance; risk assessment; knowledge and education; risk

management and vulnerability reduction; and disaster preparedness and

response. Cutter (2008) conceptualises resilience as the nexus between

social systems, natural systems and the built environment. Therefore the

literature suggests human systems and their influence on power and

equity can in fact be considered within resilience, and when done so,

provides a more holistic approach.

2.3.2 Practice of resilience

This section examines some of the debates regarding the practice of

resilience. It then analyses the ways in which frameworks operationalise

resilience at a global, city and community scale.

At a practical level, justification for focusing on resilience-building has

come from the argument that because humanitarian needs are high and

the resources for meeting needs low, resilience can play an important role

in crisis prevention (Pain and Levine, 2012). The 2011 Humanitarian

Emergency Response Review (HERR), commissioned by the UK

Government, specifically states this when it writes, ‘It should not be

forgotten that building resilience is often the best means of providing

value for money’ (2011, p.53). With austerity measures being put in place

in some donor countries, a migrant crisis on the shores of Europe and a

‘global war on terrorism’ there are many strains on donor countries.


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Therefore, DFID in particular has recommended a budget for resilience

and has declared in its strategy that the agency must, ‘place the creation

of resilience at the heart of [its] approach both to longer-term

development and to emergency response’ (Ashdown, 2011).

Secretary General, Elhadj As, and Senior Vice President, Sven Mollekleiv, of

IFRC (2015) write that within the debate about value for money is another

debate about whether humanitarian aid should be spent on ‘the most

pressing and urgent suffering’ or on ‘longer-term solutions’. They argue

that resilience is necessary because it allows both to be achieved, thereby

bridging the gap between disasters and development. Combaz (2015)

writes that while the terminology of disaster resilience is still new,

emerging evidence suggests resilience is a cost-effective way to save lives

and protect development gains, thereby integrating two paradigms that

have traditionally been quite separate in practice (Collins, 2009).

While resilience is appealing because of its diverse application, some argue

that it is precisely this quality that makes it harder to operationalise

(Tanner et al., 2015). After a study of the DRR activities of local

governments participating in UNISDR’s Making Cities Resilient Campaign in

50 cities, Johnson and Blackburn (2014) propose that operationalising

resilience means resisting a hazard; coping with a hazard; recovering from

a hazard; and adapting to ensure past mistakes are not repeated. In other

words, ‘Resilience = resistance + coping capacity + recovery + adaptive

capacity’ (Johnson and Blackburn, 2014, p. 48).

No consensus on how to measure resilience currently exists, therefore

making measuring resilience a challenge, according to some (Winderl,

2014; Arbon et al., 2013; Oddsdottir, Lucas and Combaz, 2013). However,

aid agencies, governments and donors want to measure and monitor

resilience to understand the impact of their interventions. To this end a

Resilience Measurement Technical Working Group under the Food


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Security Information Network (FSIN) was set up by the Food and

Agriculture Organization (FAO) and the World Food Programme (WFP) to

find a way to universally measure resilience (Food Security Information

Network, 2015). Scholarship has found that measuring characteristics is

the most common form of operationalising resilience (Tanner et al., 2015).

However, Bene (2013) argues that inductive approaches whereby specific

characteristics are identified as the foundation of resilience and used to

measure it can be critiqued for being too case specific; reflecting the

discipline or background of the researcher; and for not being constructed

from a deductive, generalisable approach, which can lead to circular

analysis. Bene therefore argues that there is a need to develop indicators

not based on characteristics of resilience, but on the costs of resilience

such as different ‘ex-ante and ex-post investments, losses, sacrifices, and

costs that people have to undertake at individual and collective levels to

‘go through’ a shock or an adverse event’ (2013, p.11). Bene’s formula for

measuring resilience in simplified terms is: ‘resilience = anticipation costs +

impact costs + recovery costs’ (2013, p.12). The literature suggests that

when measuring resilience, especially from a systems approach, it is

widely agreed that frameworks should be multi-sectoral and multi-scalar

(Carpenter et al., 2001; Folke, 2006).

There are concerns that operationalising resilience means placing an

emphasis on local self-reliance, thereby eroding the state’s responsibility

to protect its citizens (Griffin, 2011). Beilin and Wilkinson (2015) argue

that urban disaster resilience is best built at multiple scales through

bottom-up methods of self-organisation and internal capacity in

conjunction with top-down, centrally coordinated government policy

based activities. Chandler argues that the concept of self-reliance

highlights agency and self-empowerment of local actors (Chandler, 2015)

whose participation in building resilience at every stage of the disaster

management cycle is crucial (Bahadur, Ibrahim and Tanner, 2010).

Therefore, the literature suggests the importance of self-reliance and


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active engagement in disaster preparedness and response by the

government.

Global policy agendas and frameworks

This section reviews frameworks, summits and recently agreed global

goals concerning resilience, beginning with four global frameworks that

have current influence on policy then moving to a selection of frameworks

that operationalise resilience in cities and communities. A review of 26

frameworks is then presented. The frameworks were chosen because they

reflected the key debates around resilience highlighted earlier in this

chapter, namely that resilience includes disaster and development

dimensions; is community driven (bottom up) and policy derived (top

down); is holistic in its approach, which is represented through

consideration of physical, social, economic and governance aspects. The

frameworks were also chosen because they represented a range of scale

from global to neighbourhood. In summary, each of the 26 frameworks

provided analysis of the concepts of urban, disaster and resilience.

Six frameworks that were felt to be most relevant to this research were

then chosen for analysis. These six were chosen because they were

developed for operational purposes; covered different scales (global to

neighbourhood); included policy and non-policy activities; and were put in

practice or created for use by foundational thinkers or well known

operational aid agencies. Finally, some of the six frameworks also included

systems thinking, an integral part of this research.

a.) Sendai Framework for Disaster Risk Reduction

The Sendai Framework for Disaster Risk Reduction 2015-2030 is a global

framework for preventing and reducing disaster risk in countries around

the world (UNISDR, 2015c). It was adopted in March 2015 in Sendai, Japan,

building on achievements made by its predecessors, the Yokohama

Strategy for a Safer World: Guidelines for Natural Disaster Prevention,


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Preparedness and Mitigation 1994-2004 (IDNDR, 1994), and the Hyogo

Framework for Action 2005-2015 (UNISDR, 2007), which is discussed

further below. The framework applies to a range of disasters small and

large, frequent and infrequent, human induced or resulting from natural

hazards. The framework’s expected outcome is to reduce disaster risk,

specifically in terms of loss of life, livelihoods and health while reducing

damage to ‘physical, social, cultural and environmental assets’ (UNISDR,

2015c, p.12).

The overall goal of the framework is to strengthen resilience through a

long list of multi-sectoral areas (including ‘economic, structural, legal,

social, health, cultural, educational, environmental, technological, political

and institutional’ areas (UNISDR, 2015c, p.12)) that reduce exposure and

vulnerability and increase preparedness, response and recovery measures.

To meet the framework’s goal, four priority actions have been listed of

which resilience is number three. The priority action for resilience is

phrased as ‘Investing in disaster risk reduction for resilience’ and includes

priorities such as ‘public and private investment’ in ‘structural and non-

structural measures’ in order to ‘enhance the economic, social, health and

cultural resilience of persons, communities, countries and their assets as

well as the environment’ (UNISDR, 2015c, p.12).

The Sendai Framework places emphasis on the importance of a holistic

approach to risk reduction through multi-sectoral means. It suggests that

resilience is intertwined with achieving successful physical, social,

economic and governance aspects of preparedness and response at a

range of scales from local to national. It also emphasizes the

‘preparedness’ aspect of resilience and measures that can be taken

through good development before exposure to shocks can occur.

b.) World Humanitarian Summit


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The World Humanitarian Summit (WHS) is a process aimed at setting a

new humanitarian agenda to meet the scale and complexity of today’s

global challenges. With nearly 60 million people displaced by crises, and an

annual global spending on recovery from natural hazards in excess of USD

300 billion globally, the humanitarian system, many argue, is

overstretched (WHS, 2015b). Between 2013-2015 the WHS process

consulted over 23,000 people in 151 countries who engage with the

humanitarian system (including aid recipients) in order to develop a set of

actions for how humanitarian aid can be improved, to be agreed at the

Summit held in May 2016 (WHS, 2015a). Consultations focused on the

thematic areas of urban, stakeholder engagement and private sector

partnerships. From those consultations a synthesis of five major areas for

action was drawn up, which included: dignity, safety, resilience,

partnership and finance. The resilience action point states that

humanitarian aid will build hope and solutions in new or prolonged crises

between development and humanitarian partners by ‘investing in

preparedness, managing and mitigating risk, reducing vulnerability, finding

durable solutions for protracted displacement, and adapting to new

threats’ (WHS, 2015b, p.3).

The inclusion of resilience in the WHS Agenda demonstrates that resilience

is prioritised as a key action that contributes to the goal of improving the

global humanitarian aid system. Furthermore, in a similar vein to the

resilience definitions discussed earlier, the WHS Synthesis Report suggests

that activities related to resilience should emphasize preparedness, the

reduction of vulnerability and adaptation measures (WHS, 2015b).

c.) 2030 Agenda for Sustainable Development

The 2030 Agenda for Sustainable Development also focuses on resilience.

It is a universal agenda with 17 goals aimed at eradicating poverty,

protecting the planet and ensuring prosperity for all (United Nations,

2015a). The 17 Sustainable Development Goals (SDGs) follow on from


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eight Millennium Development Goals (MDGs) created to reduce poverty

from 2000-2015 (United Nations, 2015a). SDGs nine and 11 mention the

word resilience in relationship to infrastructure and cities respectively.

Goal nine is to ‘Build resilient infrastructure, promote inclusive and

sustainable industrialisation and foster innovation’ while goal 11 is to

‘Make cities and human settlements inclusive, safe, resilient and

sustainable’ (UNDP, 2015, np). In goal nine resilience is used in relation to

infrastructure, which suggests qualities more in line with traditional

engineering definitions of resilience (Godschalk, 2003). Meanwhile, goal

11 takes a more socio-political view of resilience in relation to cities and

settlement, noting that resilient cities and settlements include affordable

public housing, good public transport, green open spaces and employ

inclusive urban planning processes (UNDP, 2015).

d.) Habitat III, the New Urban Agenda

Habitat III, shorthand for the United Nations Conference on Housing and

Sustainable Urban Development, is the means through which a New Urban

Agenda will be agreed upon in Quito, Ecuador in October 2016 (Habitat III,

2015a). The New Urban Agenda will guide sustainable development in

cities and towns until 2036 (Citiscope, 2015). Its predecessor was Habitat

II, the Habitat Agenda: Istanbul Declaration on Human Settlements, calling

for adequate shelter for all, and was agreed to in 1996 (Habitat II, 1996). A

broad spectrum of stakeholders is participating in Habitat III, including civil

society, various levels of government, regional governance bodies,

development actors and funders. Before the New Agenda is agreed upon,

22 key issues have been selected for debate and exploration, one of which

is urban resilience. The Issue Paper on resilience refers extensively to

hazards, vulnerability, climate change, disaster risk reduction, shocks and

stresses, governance and urban planning in an effort to identify key drivers

of urban resilience (Habitat III, 2015f). The ‘operationalisation’ of the

concept resilience is described as taking place through activities that


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target physical infrastructure and basic service provision, jobs, good

governance, social inclusion and environmental sustainability.

e.) Operational frameworks for resilience

In addition to the four global frameworks reviewed above, an analysis of

26 operational frameworks was conducted by the author to understand

how resilience was being implemented in cities and communities. On that

basis, six frameworks were chosen for in-depth analysis in order to identify

strengths, weaknesses, their relevance to urban disaster resilience and the

key concepts employed. The next section is a summary discussion of the

relevant aspects of each of the six frameworks. A more in-depth analysis

of the six frameworks can be found in the CD appended to this thesis.

Six frameworks were chosen to represent key approaches to

operationalising or understanding resilience deemed most relevant to this

research. The criteria for choosing the frameworks was based on the

literature review conducted earlier in this chapter. The criteria are: global

level policy frameworks on disaster risk reduction, community based

resilience, urban frameworks with a systems focus, climate change in

urban areas, place-based assessments to natural hazards and frameworks

for resilience that are used by humanitarian networks.

The first, the Hyogo Framework for Action (HFA) framework by UNISDR

(2005b), the precursor to the Sendai Framework for Disaster Risk

Reduction, discussed above, was selected to understand how a global

framework for disaster risk reduction operated, was monitored and

evaluated and engaged a broad range of stakeholders at various levels in

its five thematic areas. The HFA was analysed not only because it

influences global policy and national risk reduction activities, but also

because it combines development and disaster approaches in three goals,

which are to 1.) reduce risk in sustainable development activities; 2.)


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improve governance by developing the capacity and resilience of

institutions; and 3.) to incorporate disaster risk reduction into every stage

of the disaster management cycle (UNISDR, 2011).

Twigg’s (2009) guidance note, Characteristics of a Disaster Resilient

Community, commissioned by six international NGOs (ActionAid, Christian

Aid, Plan UK, Practical Action and Tearfund), along with the British Red

Cross, depicts what a disaster resilient community looks like. It uses the

five thematic areas represented in the HFA, demonstrating how a global

framework can be integrated at the community level. The five thematic

areas are then broken into three sub-sections. There are 28 ‘components

of resilience’ which act as key activities that serve to identify what disaster

resilience is. There are 167 ‘characteristics of a disaster-resilient

community’, which illustrate what an ideal disaster resilience community

looks like. There are also six characteristics of an ‘enabling environment’,

which create the conditions for the components of disaster resilience to

be achieved.

Da Silva et al.’s Urban Resilience Framework (2010), which was designed

to respond to climate change challenges at a city scale, was also reviewed.

The framework employs a systems approach to understanding cities,

specifically focusing on the linkages between ‘interdependencies,

agencies, vulnerabilities and capacities’ within systems. It also analyses

shocks and stresses together, highlighting in particular the role of physical

and institutional systems (da Silva et al., 2010, np). It is split into two

broad categories, one that analyses vulnerability, the other which

identifies ways to build resilience. Both consider the role of external and

internal agents as well as urban systems.

Moser’s Conceptual and Operational Framework for Pro-Poor Adaptation

to Urban Climate Change (2011) also analyses urban resilience to climate

change hazards with a specific emphasis on assets instead of systems. The


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temporal aspect is more drawn out than in any other framework analysed

through an assessment of asset vulnerability followed by an adaptation of

assets in four ‘phases’ that include long-term resilience; pre-disaster;

immediate post-disaster and rebuilding (2011). Moser (2011) also

conducts analysis at individual, household, and community scales.

Cutter et al.’s DROP model (2008), which is designed to assess disaster

resilience to natural hazards at a community or local level, was also

analysed and found to focus on vulnerability and the ways in which

communities adapt or cope. The framework analyses the antecedent

conditions (existing vulnerability) alongside characteristics of a specific

hazard and coping responses of the community as a formula for

understanding disaster resilience.

Lastly, the IFRC’s Characteristics of a Safe and Resilient Society (ARUP,

2011) was analysed in order to understand how the world’s largest

humanitarian network is implementing resilience. The characteristics in

the research were intended to be used ‘in the design, monitoring and

evaluation of future programmes,’ thereby offering a way of seeing

resilience operationalised (ARUP, 2011, p.ii). The framework identifies six

characteristics for resilience within a community: knowledge and health;

economic opportunities; infrastructure and services; natural resources;

organisation; and connectivity (ARUP, 2011). It places health and

knowledge at the centre, arguing that other aspects were also important

such as the ability to be organised in order to identify and act on

problems; to be connected with external actors, the environment and

supply chains; to manage natural assets that protect the environment; to

create economic opportunities and access infrastructure and services such

as housing, transport and power.

The in-depth analysis of the six frameworks or methods for

operationalising resilience alongside an analysis of 20 other frameworks


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highlighted that resilience is currently being used in a variety of ways.

Furthermore, it suggests that many frameworks place their chosen area of

focus at the centre of analysis, be it health (as in the case with the IFRC

research), climate change (as was seen in Moser and da Silva et al.’s

frameworks) or natural hazard risk (as was the case for Cutter et al.’s

DROP model). All of the frameworks had strong social and governance

components to them, while one out of two urban frameworks had a

strong emphasis on physical aspects (da Silva et al., 2010). Having selected

all of the frameworks from a disaster management-development

paradigm, it is worth noting that none of the 26 frameworks had an urban

morphology component to them. Table 2.3.3a below provides a list of the

six frameworks that were chosen for in-depth analysis. Table 2.3.3.b below

provides a list of 26 frameworks reviewed.

An in-depth review of six resilience frameworks

Author Framework

1 (UNISDR, 2005b) Hyogo Framework for Action

2 (Twigg, 2009) Characteristics of a Disaster Resilient Community

3 (da Silva et al., 2010) The Urban Resilience Framework

4 (Cutter et al., 2008) Disaster Resilience of Place (DROP) Model

5 (Moser, 2011) A Conceptual and Operational Framework for Pro-Poor Adaptation to Urban Climate Change

6 (ARUP, 2011) Characteristics of a Safe and Resilient Community

Table 2.3.3a: A list of the six frameworks chosen for in-depth analysis. Source: the author


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A review of 26 resilience frameworks

Author Framework

1 (UNISDR, 2005b) Hyogo Framework for Action

2 (Twigg, 2009) Characteristics of a Disaster Resilient Community

3 (da Silva et al., 2010)

The Urban Resilience Framework

4 (Cutter et al., 2008) Disaster Resilience of Place (DROP) Model

5 (Moser, 2011) A Conceptual and Operational Framework for Pro-Poor Adaptation to Urban Climate Change

6 (ARUP, 2011) Characteristics of a Safe and Resilient Community

7 (U.S. Indian Ocean Tsunami Warning System Programme, 2007)

How Resilient is Your Coastal Community? A Guide for Evaluating Coastal Community Resilience to Tsunamis and Other Coastal Hazards

8 (World Bank, 2012a)

Building Urban Resilience: Principles, Tools and Practice

9 (EMI, 2012) Programmatic Directions for the Red Cross and Red Crescent in Building Urban Community Resilience in the Asia Pacific Region

10 (Rivera and Settembrino, nd)

Toward a Sociological Framework of Community Resilience

11 (Kafle, 2010) Integrated Community Based Risk Reduction: An Approach to Building Disaster Resilient Communities

12 (DFID, 2011b) Saving Lives, Preventing Suffering and Building Resilience: The UK Government’s Humanitarian Policy

13 (Wongbusarakum and Loper, 2011)

Indicators to Assess Community Level Social Vulnerability to Climate Change: An addendum to SocMon and SEM Pasifika Regional Socioeconomic Monitoring Guideline

14 (Renschler et al., 2010)

Developing the ‘Peoples’ Resilience Framework for Defining and Measuring Disaster Resilience at the Community Scale

15 (ADPC, 2006) Critical Guidelines: Community-Based Disaster Risk Management

16 (Turner et al., 2003) A Framework for Vulnerability Analysis in Sustainability Science

17 (UNISDR, 2013) The Pacific Experience in Developing Policy


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A review of 26 resilience frameworks

Author Framework

and Legislation on Disaster Risk Reduction and Climate Change Adaptation

18 (DFID, 2011a) Defining Disaster Resilience: A DFID Approach Paper

19 (Tyler and Moench, 2012)

A Framework for Urban Climate Resilience

20 (IDNDR, 1994) Yokohama Strategy and Plan of Action for a Safer World: Guidelines for Natural Disaster Prevention, Preparedness and Mitigation

21 (Heijmans, 2013) Reaching Resilience: Handbook Resilience 2.0 for Aid Practitioners and Policymakers

22 (TANGO International, 2012)

The Resilience Framework

23 (da Silva, 2014) The City Resilience Framework

24 (da Silva, Kernaghan and Luque, 2012)

A Systems Approach to Meeting the Challenges of Urban Climate Change

25 (Shaw, 2014) Urban Disaster Risk Reduction Framework

26 (Suri, 2015) Resilient cities for children: a strategic framework for World Vision

Table 2.3.3b: A list of the 26 frameworks chosen for review in relation to urban disaster resilience. Source: the author

In summary, this section on resilience has covered practical challenges and

debates with operationalising resilience. It then reviewed operational

frameworks in order to gain an understanding of the key concepts and

ways in which those concepts interact. The next and final section offers

and interpretation of urban disaster resilience for this research.

2.3.3 Defining urban disaster resilience for this research

After conducting a literature review of cities, disasters and development,

as well as the theory and practice of resilience, it is important for this

research to be clear how it defines urban disaster resilience. This research

therefore defines resilience as ‘the capacity for dynamic systems to cope,

adapt and transform in ways that reduce future risks to shocks and

stresses’. Furthermore, it defines urban disaster resilience as ‘the ways in


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which the interactions between the built environment, complex adaptive

systems and people build the capacity to cope with shocks and stresses

and re-organise in order to reduce future disaster risk’.

Conclusion

This chapter presented a literature review of theories related to

conceputalising the city, disaster development and resilience. It began

with an explanation of the ways in which development theory fostered

urban growth. It then conceptualised the city from a CAS and urban

morphology approach, observing that such approaches account for the

interdependencies and complex overlaps between humans and the built

and natural environments they live in. Specific opportunities and

challenges within the city were identified through the examination of

urban form and risk; economic systems and their impact on the informal

sector; governance systems and the role of key actors as well as social

systems and the way relationships can become successful socioeconomic

coping mechanisms. The chapter concluded with a discussion on the

history of resilience, including key conceptual and practical debates about

the concept.

The literature review has identified some key aspects for consideration in

the development of a conceptual framework for understanding urban

disaster resilience. In particular, the development theory section of this

chapter underscored the need for inclusive, participatory methods in

order to foster inclusive, safe and just cities for all, including poorer

people. Analysis of urban form highlighted the physical risks brought out

by informality in buildings, specifically homes. Meanwhile the analysis of

economic systems emphasised the role of informality and the need for

greater economic access for poorer people in urban centres. Furthermore,

analysis of governance systems concluded that the rule of law, including

planning policies and development strategies at the national level, are as

important as individual ‘self-help’ systems and networks that informally


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govern poorer areas of cities and neighbourhoods. Meanwhile, the social

systems analysis emphasised that people with monetary weaknesses have

stronger economic and political access when they work together.

The disasters section highlighted a history of theories and approaches that

attempt to link disasters and development, suggesting that resilience is

the latest of such attempts and differs by way of using systems instead of

asset analysis. The resilience section demonstrated that while the concept

has some obstacles conceptually and practically, it has gained a lot of

uptake in global policy agendas and local frameworks. Then next chapter

will use this literature review to formulate a conceptual framework for

understanding urban disaster resilience.

Chapter three: a conceptual framework for urban disaster resilience

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Part II. Research approach


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Chapter three A conceptual framework for urban disaster resilience

Introduction

This chapter formulates a conceptual framework for understanding

disaster resilience in low-income neighbourhoods with a view to use it to

identify key dimensions of resilience. To this end, two urban approaches

for analysing the city are aggregated to create a conceptual framework

that investigates human interactions and their influence on built form.

Complex adaptive systems (CAS) and urban morphology are combined to

create a framework for investigating patterns of urban vulnerability,

capacity, risk and opportunity in order to understand dimensions of

disaster resilience, and the ways in which the concept assists with

improving disaster response.

This chapter begins by explaining CAS and the reason for choosing three

CAS for the framework. A definition of the chosen economic, social and


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governance CAS is given followed by an explanation of how the CAS

systems were triangulated with other systems frameworks. The urban

morphological component of the conceptual framework is then presented

through four layers of analysis within the built and natural environment.

The four layers comprise topography, movement networks and public

open spaces, plots and buildings and services and exist in order to conduct

scalar analysis of human interaction with the built and natural

environment. The chapter concludes by illustrating how CAS and

morphology can be integrated into a single approach for analysing disaster

resilience in the city.

Methodological approach

A literature review was the primary methodological approach employed to

develop the conceptual framework, as presented in Chapter Two. The

literature review examined different conceptualisations of CAS and urban

morphology in order to understand how they explain the city and its inter-

connections. The review of theory is a deductive approach to forming the

conceptual framework, whereby key theories are reviewed and used to

form the foundation of the framework. A review of 26 resilience

frameworks that guide practice was then conducted across a range of

thematic areas within resilience, including climate change, community

resilience, place-based resilience and global disaster risk reduction

frameworks. The frameworks were examined in Chapter Two in order to

ascertain key characteristics and themes of resilience that could be

generalised, again employing a deductive approach to test commonalities

within practice. Moreover, the examination of practical frameworks made

connections between theory and practice.

The key links that were drawn from theory included emphasis on social

capital, microfinance, secure land tenure and the importance of

temporality and scale when building capacity to withstand and recover

from disaster shocks. Meanwhile practice revealed an emphasis on


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building capacity, forming partnerships and developing multi-sectoral

approaches.

Having explained the methodological approach for this chapter, the aim of

the conceptual framework is presented next. The development of the

conceptual framework is then explained starting with CAS and then

moving to morphology. A rationale for using the approaches is then

explained.

3.1 The conceptual framework’s aim

The aim of developing an urban disaster resilience framework in this

chapter is to understand changes in the contemporary urban fabric that

take place as a result of influence from CAS and visa versa. Through urban

morphology, the framework will analyse the quality of the urban built and

natural environment, and serves as the basis for asking, how did the

neighbourhood become what it is today and what are the key dimensions

of resilience that can be identified within it?

The framework comprises a horizontal axis (complex adaptive systems)

and a vertical axis (urban morphology), illustrated in Figure 3.1a. The CAS

elements of the conceptual framework identify patterns of resilience, risk,

capacity and vulnerability. Meanwhile, the morphological elements

highlight changes within the built and natural environment as shown

Figure 3.1a below.


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Figure 3.1a: The CAS aspect of the conceptual framework is represented in blue (horizontal axis), and analyses patterns of resilience, risk, capacity and vulnerability. The morphological element of the conceptual framework represented in green (vertical axis), analyses changes within the built and natural environment. Source: the author

The conceptual framework is structured in order to conduct analysis by

asking: what interactions took place at the intersections between the

systems and the morphological layers? Did the impact at the intersections

create resilience? Was the resilience positive or negative? The next section

explains the CAS components of the framework.

3.2 Complex adaptive systems: the framework’s

horizontal axis

This research contends that urban disaster resilience can be analysed

effectively using a theoretical landscape that acknowledges and

accommodates overlap, complexity and adaptive behavior (da Silva, 2014;

Anderies, Walker and Kinzig, 2006). Therefore, systems theory is used in

this research as one of two key theories because it recognises cities and


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neighbourhoods as complex adaptive systems that have a plethora of

feedback loops that are created through intra and inter-dependent causal

and adaptive relationships (Walker et al., 2004; Holling, 2001; Walker et

al., 2006; Juarrero, 2000; da Silva, Kernaghan and Luque, 2012). The

horizontal axis of this framework is host to three key interdependent

complex adaptive systems used for analysis in this framework: economic

flows, governance networks and social dynamics. Economic flows in this

conceptual framework are defined as economic benefits such as money,

markets, businesses, rent, jobs, savings, loans, credit, ownership and skills.

Governance networks (Resilience Alliance, 2007) involve the organisation

of power and decision-making such as government, institutions, leaders,

networks, planning policies and legal frameworks. Social dynamics

(Resilience Alliance, 2007) are defined by social interaction such as

networks, social capital, discrimination, culture and values. It also includes

social services such as education, welfare and healthcare. These three CAS

were identified after the literature review of theories and frameworks in

Chapter Two. The next section will provide further a justification of the

three systems chosen for the framework by triangulating them with three

other influential systems frameworks. Figure 3.2a below shows the

overlapping nature of the economic flows, governance networks and

social dynamics CAS.


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Figure 3.2a: A diagrammatic representation of overlapping economic flows, governance networks and social dynamics CAS. Source: the author

3.2.1 Economic flows

Economic flows provide economic benefits to individuals,

neighbourhoods, cities and nations. Economic benefits and losses can

arise at any given time in the production, supply and consumption of

goods (Resilience Alliance, 2007). Urban areas are consumption driven,

meaning people are required to purchase basic necessities such as food,

water, shelter and electricity often from other areas in order to survive

(Friend and MacClune, 2013). Regardless of race, ethnicity, gender or

creed, unrestricted access to money, markets, loans, insurance, credit and

microfinance are crucial to ensuring unhindered economic flows for

poorer urban people who often grapple with unstable financial asset

bases, indebtedness and lack of access to loans or insurance (da Silva,

2014). Equally important is access to skills training and employment in

decent work occupations supported by social protection and security (ILO,

2002). Finally, ownership of assets such as land, houses and rooms for

rent greatly impacts the economic stability of an individual,

neighbourhood and city, and are therefore included in the definition of

economic flows. The recent rise of the urban ‘sharing economy’ also

creates opportunities for asset owners to rent out their services or assets

for a small fee (The Economist, 2013). Having explained the economic CAS

in the framework, the next section will focus on the governance CAS.

3.2.2 Governance networks

Governance networks CAS in the framework consists of institutions,

governments, the private sector (and their tools such as planning policies

and legal frameworks). The governance CAS also includes processes that

shape power sharing, decision-making, participation, justice, and agency

(Siisiainen, 2000; Friend and Moench, 2013; Allen, 2003). Governance

networks strongly impact on social systems by constraining or enabling

access for different groups of people. Good governance networks are


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integrated; inclusive, exchange information and have accountable

authorities (Anderies, Walker and Kinzig, 2006; Arup International, 2014;

MacClune, Tyler and Allan, 2014). Integrated networks ensure investment

and management of all sectors and departments and are aligned to a

mutually supported outcome (da Silva, 2014). Good governance engages a

broad range of stakeholders, including civil society, in a shared ownership

of a joint vision (Anderies, Walker and Kinzig, 2006).

Good governance also relies on information exchange that is accurate and

shared in a timely manner to shorten feedback loops and protect public

safety when shocks or stresses occur (da Silva, 2014). Finally, government

authorities should be transparent in their decision making and

accountable to the public (MacClune, Tyler and Allan, 2014). Therefore

this CAS component of the framework will be considering elements of

good governance, civil society networks and accountability in decision-

making processes. The next section will explain the way in which the

framework will analyse social dynamics CAS.

3.2.3 Social dynamics

Social dynamics are comprised of dynamic interactions such as networks,

social capital, leadership, discrimination, cultural values (Putnam, 2007;

Keeley, 2007; Siisiainen, 2000; Stephenson, 2011; Anderies, Walker and

Kinzig, 2006). Healthcare, education, financial structures, social welfare

nets and the like are also included in social systems (Wallace and Wallace,

2008). A resilient social dynamic system has the ability to self-organise, is

capable of facilitating collective action and engenders trust (Putnam, 2007;

Anderies, Walker and Kinzig, 2006). The qualities of resilient dynamic

social systems are understood to include learning, resourcefulness, and

responsiveness (Levine, 1998).

Social systems demonstrate learning through evolving practices (Reed et

al., 2013) such as forming a savings group to access livelihood loans but


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then adapting the purpose of the group to also include allowances for

social welfare needs. Resourcefulness is demonstrated when people are

able to identify a variety of ways to achieve their livelihood and well-being

goals, even in response to a disaster shock. Lastly, social systems are

responsive when they are able to make decisions in a timely manner and

take appropriate actions to adapt to shocks (MacClune, Tyler and Allan,

2014). This framework will consider how the social dynamics explained

above interact as part of understanding how the social CAS works in a city.

3.2.4 Triangulation: a review of three urban resilience frameworks

By way of further triangulating the justification for the categorisation of

CAS in this framework, a critical review of three recent systems

frameworks for urban resilience is conducted in order to ascertain

similarities and differences between the categories of this conceptual

framework and those developed by others. A short discussion of the

findings and how they support the choice of the categories in this

framework is outlined below.

Resilience Alliance (2007)

The Resilience Alliance describes cities as the ‘quintessential example of a

complex adaptive system’ because they are constantly evolving based on

‘internal interactions and the influence of external factors’ (Resilience

Alliance, 2007, p.9). Following a workshop in Gothenburg, Sweden in

2005, the Resilience Alliance developed key themes to guide a systems

approach to building the general resilience of a city and its component

parts (Resilience Alliance, 2007). The four themes developed were: 1.)

metabolic flows, described as the production, supply and consumption of

goods; 2.) governance networks, defined as organisations and mechanisms

of good governance that redistribute equitable services and benefits to an

urban population; 3.) social dynamics defined as the social patterns that

influence density, shape human capital, access and inequality; and 4.) the

built environment, referring to the spatial organisation of the city and its


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infrastructure, and the way it interacts with ecosystem service provision

(such as food and water). The interaction and overlapping nature of the

themes is pictured below in Figure 3.2.4a.

The urban disaster resilience conceptual framework developed by the

author in this chapter uses the Resilience Alliance’s four themes as the

basis for its categorisation of systems, with some modifications as

demonstrated in Figure 3.2.4b. As explained in section 3.2 above, the

author’s framework uses three systems that are similar in nature to the

Resilience Alliance’s framework, namely social, governance and economic.

However, the economic aspect in the author’s framework is described as

economic flows while the Resilience Alliance uses the term ‘metabolic

flows’. The ‘metabolic flows’ category is defined by the Resilience Alliance

as ‘production, supply and consumption chains’. However, it arguably

lacks a focus on people and their relationship to economic resilience.

Therefore, the definition of the ‘economic flows’ system is believed to

provide a greater focus on the ability of groups and individuals to

economically thrive, and shall be defined in this conceptual framework as

economic benefits such as money, markets, businesses, rent, jobs, savings,

loans, credit, ownership and skills.

Another notable change between the two frameworks is the author’s

emphasis on the physical component by using urban morphology to

analyse the built and natural environment. Therefore the three CAS

systems that are similar in nature to the Resilience Alliance are shown in

blue in Figure 3.2.4b below while the green circle indicates a greater

emphasis on the built and natural environment in order to account for the

importance of the interaction between the built environment and people.


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Figure 3.2.4a: An interpretation of The Resilience Alliance’s (2007) key themes for building the urban resilience within a city and its component parts. Source: the author

Figure 3.2.4b: The author’s framework builds on the knowledge of the Resilience Alliance (2007) by using similar social and governance systems while making modifications to the way in which economic systems is understood (as indicated in blue). Urban form is indicated in green and will be given greater emphasis through a morphological analysis. Source: the author


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A systems approach to meeting the challenges of urban climate change

Similar categories are identified in da Silva et al.’s (2012) systems

approach to urban climate resilience. Three primary ‘networks’ were

identified as significantly contributing to the resilience of a city or its parts.

They are: 1.) Infrastructure networks (key physical and technological

networks); 2.) Knowledge networks (structures that regulate access to

information) and 3.) Institutional networks (rules and practices that

govern human interaction). While the physical, political and social

networks are arguably included in these categorisations, the economic

network appears to be insufficiently represented. Da Silva et al. (2012)

have placed the description of economic systems within the broader

definition of institutional networks. However based on a review of the

literature and data collected regarding flooding in Bang Bua Canal,

emphasising the role of economic systems is crucial. Access to income is

the lifeblood that allows people in a city to meet their basic human needs

and requires analysis in its own right.

Figure 3.2.4c below illustrates how da Silva et al. (2012) organise their

three networks. The box on the top (gray) indicates that a local

government has direct control over what happens to its infrastructure,

knowledge and institutional networks. Meanwhile, the box on the bottom

(dotted lines) depicts an environment where a city has influence, not

control, due to an increase in density of spatial and non-spatial dynamics

(such as settlements, markets, policies and global networks) that operate

within and outside of its administrative boundaries. Essentially the

diagram shows that smaller scales of networks such as a district have

more control than larger scales of networks such as a city.


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Figure 3.2.4c: An interpretation of da Silva et al.’s (2012) model of the city as an open system shows that smaller levels of governance i.e. a district, has a strong ability to control networks inside of its administrative boundaries (as indicated in the top gray box), and as the level of government grows in size i.e. multiple districts are under the control of a single authority, and a reduced ability to influence networks inside and outside of its boundaries is seen. Source: the author


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City resilience framework

The City Resilience Framework developed by the Rockefeller Foundation

and Arup (2014), can be viewed as an updated version of Arup’s (2010)

conceptual framework of urban climate change co-developed by da Silva.

At the broadest level of the City Resilience Framework there are four

categories that host 12 indicators, 48-54 sub-indicators and 130-150

variables that determine urban resilience.

The four categories in this framework consist of: 1.) Health and well-being,

which focuses on the reduction of vulnerability, the increase of protection

and livelihoods opportunities for people; 2.) Infrastructure and

environment, which focuses on the quality of place; 3.) Economy and

society, which focuses on financial flows and the organisation of society;

4.) Leadership and strategy, which refers to the way in which effective

leadership and management occur, and how they empower people in

cities. Figure 3.1.4 c below is a diagrammatic representation of da Silva’s

(2014) City Resilience Framework.

While the categories in da Silva’s (2014) framework are grouped

differently to the urban disaster resilience framework being developed by

the author in this chapter, there are similarities. Both have a focus on the

economy, infrastructure and the environment, social issues and

governance. While the urban disaster resilience framework developed by

the author uses similar concepts to the City Resilience Framework, the

author’s framework provides a greater emphasis on the built and natural

environment by adding urban morphology, which is described in the next

section.


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Figure 3.2.4d: An interpretation of The City Resilience Framework (da Silva, 2014). The four categories of urban resilience are highlighted in blue. Source: the author

Therefore, having explained the ways in which the author used urban

resilience frameworks to develop the CAS component of this chapter’s

conceptual framework, the next section will explain the framework’s

morphological component.

3.3 Morphology: the framework’s vertical axis

An urban morphological approach allows for analysis of the complexity

and layered nature of the natural and built environment at multiple scales.

Levine et al. (2012) argue that resilience lacks a historical dimension, and

that is why mistakes are repeated. Morphology is a tool that can assist

with understanding the historical transformation of a city and its

component parts, especially in relation to the ways in which social,

economic and demographic changes have influenced urban form (Bolio

Arceo, 2012; Whitehand, 2012).


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To this end, four morphological layers have been selected. The first is a

topographical layer that investigates land and water in order to

understand the implication of policy as well as longer-term

transformations of topography over time. The second layer is that of

movement networks and public open spaces, which investigates key CAS

that influence change in roads, canals and public open spaces over time.

The third, the plots layer, has been chosen to analyse the ways in which

small or large parcels of land change over time in order to identify the key

dimensions of CAS that have most influenced change at the plots layer.

Lastly, the buildings and services layer was chosen in order to explore the

ways in which buildings and access to services impacts upon disaster risk.

These four layers were chosen based on the criteria of time and scale.

Together they cover a range of scales from topography at the largest scale

with the longest rate of change to buildings and services at the smallest

scale with the shortest rate of change. The different layers across the

range of scales create an understanding of the influence and power

different actors have. Figure 3.3 is an illustration of the four morphological

layers used in this framework.

The morphological layers comprise the vertical axis of the conceptual

framework, and explains urban form components and traces changes in

the spatial relationships between the built and natural form of a city over

time (Kropf, 2009). The four morphological layers are used to investigate

influences on the built and natural environment at different resolutions of

scale (Moudon, 1997). Morphology can be used to understand how

individual layers function as separate parts (Kropf, 2005), as well as in

relationship to one another (Kropf, 2005) and in relation to the CAS on the

horizontal axis of this framework. In the next section the four layers are

explained in more detail.


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Figure 3.3: The four morphological layers used in the conceptual framework includes the topography layer; movement networks and public open spaces layer; the plots layer; and the buildings and services layer. Source: the author

3.3.1 Topographical layer

The topographical layer is comprised by natural landscape such as land,

water and observable features of a specific terrain (Bolio Arceo, 2012). The

topographical layer is investigated first because it is the largest, most

permanent morphological layer where changes manifest across centuries

(Bolio Arceo, 2012). Analysis of the topographical layer adds value by

investigating the terrain and soil of pre-urban structures (Koster, 1998).

Historical analysis of how human agents affect change at a topographical

level can shed light on modern day challenges and opportunities related to

quality of place (Bolio Arceo, 2012; Choi, 2011), and a subsequent need to

investigate other morphological elements (Butina Watson and Bentley,

2007). The topographical layer is important in this framework because it

accounts for changes in naturally occurring elements including, climate

hazards and risks. Figure 3.3.1 below overlays the topographical layer with

the economic, governance and social CAS.


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Figure 3.3.1: A visual graphic of the way in which the three key CAS intersect with the topographical layer. Source: the author

3.3.2 Movement networks and public open spaces layer

The second layer investigates movement networks and public open

spaces. Movement networks are defined as mobility infrastructure such as

streets, large highways and small as pedestrian lanes (Kropf, 2009) as well

as water channels used for transportation, commercial activities or

socialising (Truong, 2013). The design of movement networks impacts the

safety and permeability of an area and increases legibility (Carmona,

Heath and Tiesdell, 2003). Public open spaces are open spaces that are

accessible to the general public and often host social and economic

activities (Carmona, Heath and Tiesdell, 2003). Examples of public open

spaces are informal market places, playgrounds, parks and squares. Public

spaces ‘mirror the complexities of urban societies’; they can be

impersonal, fragmented, contested or exclusive (Madanipour, 2010, p.1).

Alternatively, when public spaces are accessible and inclusive

(Madanipour, 2010) they can create a safe environment for strangers to

connect and for friendships, cultural attitudes and identities to be

strengthened. Public spaces tend to remain relatively stable in comparison


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to plots and buildings (Butina Watson et al., 2004). Analysis of public open

spaces within this conceptual framework focuses on how patterns of use

have evolved over time, and the innovative trade-offs between private

and public space (Dovey and King, 2011). This urban disaster resilience

framework focuses on the use of movement networks and public open

spaces in crisis and non-crisis periods; the types of people who use public

spaces and the risks and opportunities involved. Figure 3.3.2 below

illustrates the overlapping of economic, governance and social CAS with

morphology’s movement networks and public open spaces layer, as it is in

these intersections where the interrogation of resilience takes place.

Figure 3.3.2: A graphic of the way in which the three key CAS intersect with the movements network and public open spaces layer. Source: the author

3.3.3 Plots

The third layer of analysis focuses on plots, used in this framework to

identify changes in access to and quality of a piece of land, its use and

ownership. Once street patterns have been established, plots begin to

appear (Koster, 1998), hosting people settling or working on parcels of

land (Whitehand, 2001). Plots are defined by land use and their physical

form (Kropf, 2009). Streets in particular exert a long standing influence on


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framing the way rural land is converted for urban use, which in turn

influences the form of future plots through the residual elements passed

down (Whitehand, 2001). This conceptual framework includes plots as a

separate layer of analysis because it allows interrogation of land utilisation

and mechanisms for securing tenure. Since plots are usually objects of

ownership, analysis of ownership and control provides an essential insight

into socially defined relationships between the controller and the user

(Kropf, 2009). It is widely recognised that many towns and cities lack

regulated plot dimensions (Whitehand, 2001), and thus they vary in shape

and size. Examination of the plot layer can reveal patterns in the

‘neighbourhood effect’ where occupants influence one another by the

type of changes they make to their individual plots, especially in areas of

high density (Whitehand, 2001). In urban spaces where land is a scarce

resource and land rights in informal settlements are frequently contested,

it is important to analyse the use and access to specific plots of land – be

they neighbourhoods or households. Figure 3.3.3 below illustrates the

ways in which overlapping and interconnected economic, governance and

social CAS intersect with the plots layer to create change over time.

Figure 3.3.3: A graphic of the way in which the three key CAS systems intersect with the plots layer. Source: the author


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3.3.4 Buildings and services layer

The final layer of analysis is that of buildings and services, the most rapidly

changing of the physical layers, and arguably one of the most fundamental

layers in morphological analysis for understanding the social, political and

economic factors that influence a neighbourhood (Bolio Arceo, 2012;

Whitehand, 1987). So important are infrastructure and services, that UN-

Habitat describes them as the ‘bedrock of prosperity’ in its 2012-2013

State of the World’s Cities Report (UN-Habitat, 2013b), arguing that

‘inadequate infrastructure is a major impediment to the prosperity of

cities’ (UN-Habitat, 2013b, p.xvii). Building types have traditionally been

mapped in order to ensure future urban development takes into account

historical transformations and cultural traditions (Whitehand, 2001). While

this is important, the main focus of analysing buildings and services in this

framework is to ascertain opportunities for improving quality of life and

well-being. According to UN-Habitat (2013b), access to adequate housing

and residential services promotes competiveness and economic growth;

improves urban connectedness; reduces poverty and contributes to safer,

more sustainable cities. Investing in, and maintaining critical infrastructure

and services is listed by UNISDR (2015a) as one of ten essentials in its

Making Cities Resilient campaign.

This layer of the framework provides an opportunity to identify the

infrastructure that reduces flood risk, and maintains a basic mode of ‘fail

safe’ functioning without complete breakdown in a disaster, one of the

major criteria for measuring urban resilience (World World Bank, 2012a;

Jha, Bloch and Lamond, 2012). Linking this particular layer with all of the

other layers in the framework recognises that in a crisis, people who live in

neighbourhoods rely on the city to maintain a low-level functionality of

basic services such as power and water in order to survive. In non-crisis

periods, people not only require access to working infrastructure, but also

quality infrastructure that is affordable (Lucci, 2014 ). The buildings and

services layer experiences changes faster and more frequently than any


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other of the layers (Butina Watson et al., 2004). Figure 3.3.4 illustrates the

ways in which overlapping and interconnected economic, governance and

social CAS intersect with the buildings and services layer to create change

over time.

Figure 3.3.4: A graphic of the way in which the three key CAS intersect with the building and services layer. Source: the author

Having described the four morphological layers in this framework, the

next section will explain how urban morphology and CAS approaches can

be combined to create a single approach to analysing and understanding

urban disaster resilience.


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3.4 A conceptual framework for urban disaster resilience This section explains how CAS and urban morphology approaches are

combined to create a conceptual framework that investigates disaster

resilience in order to identify key dimensions of resilience.

The urban disaster resilience conceptual framework pictured below in

Figure 3.4.1 creates the image of a lattice with the horizontal axis

representing three key complex adaptive systems and the vertical axis

representing four morphological layers. A lattice structure enables

analysis of the urban fabric to be conducted column-by-column, row-by-

row. The blue horizontal axis represents CAS deemed most relevant to

urban disaster resilience. The green vertical axis represents morphological

layers used to analyse the quality of place in different layers of the built

and natural environment.

The conceptual framework forms a matrix, whereby systems intersect with

morphological layers, allowing data to be gathered and analysed across

the two-way relationship. Complex interactions and feedback loops are

deconstructed within the relationships in order to establish patterns of

resilience, risk, vulnerability and capacity within CAS and identify key

dimensions of resilience.

The dimensions of resilience are deemed positive or negative based on an

analysis of power, in order to determine who is at risk, the types of risk

they face and whether they need to adapt to or transform their situation.

The key dimensions of resilience found within CAS are then allocated to

the morphological layers they most influenced. The intersection between

CAS and morphology is where dimensions of resilience are identified.

Dimensions of resilience are points that indicate where human systems

influence the built and natural environment and visa versa. The


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dimensions of resilience may be positive for some, and negative for

others, making it essential to couple resilience with transformation

(Bahadur and Tanner, 2014).

Figure 3.3.1: A conceptual framework of urban disaster resilience. The blue horizontal axis represents CAS deemed most relevant to urban disaster resilience. The green vertical axis represents morphological layers used to analyse the quality of place in different layers of the built and natural environment. Culled together into one framework, the intersections between human elements of CAS and morphological layers create dimensions of disaster resilience. Source: the author

3.4.1 Framework justification

This conceptual framework blends systems and morphology in order to

investigate concepts of density, power, complexity and dynamism.

Analysis of the morphological layers and their relationships with

economic, political and social systems generates an understanding about

the interactions that shape risk, opportunity and vulnerability in the built

environment and the degrees of influence each of the systems have at


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different physical scales. Moudon (1997) believes that reading the city and

understanding its risks can only be done historically because its urban

form components undergo continuous transformation.

Morphological analysis assists in understanding the city because it

considers the transformation of form; resolution and time and can be

correlated with factors that influence urban transformation (Moudon,

1997). Alesch (2005) writes that systems theory, the theory of complex

self-organising systems, chaos theory, and urban morphology are a

powerful and necessary basis for ‘understanding systems we are trying to

affect’ (Alesch, 2005, p.3). In a paper that maps out a decade-long

longitudinal study of more than a dozen disaster sites, Alesch (2005)

argues that during disaster recovery, the built environment is rebuilt

relatively quickly, but that the social, political, and economic relationships

and capacities are not adequately addressed.

Bringing together theories of morphology and complex systems aims to

provide a more powerful context analysis and a more accurate

identification of the interaction of the built environment and the systems

that influence it. This particular framework is different from other

frameworks reviewed in this chapter because it combines morphology and

CAS in order to understand resilience from a space-based systems

approach in a way that no other conceptual framework known to the

author does.

Moreover, the framework can be useful to a range of urban practitioners

(i.e. urban planners and designers, engineers, architects, urban water

management specialists etc.) looking to initiate activities that build

resilience. It can be used to conduct a context analysis or a capacity and

vulnerability assessment because it is holistic, comprehensive and easily

adaptable. For example, if a local government wanted to build a road,

they could use this conceptual framework to understand the social and


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economic impacts of doing so. Or, if a neighbourhood wanted to change

the way in which access to water occurs, the conceptual framework could

also be used to map out the key social, economic and governance aspects

that influence access to water at a range of levels from local to national.

In summary, the intersections between CAS and morphology provides a

urban perspective on disaster resilience that combines a physical

approach with a human approach to create a holistic analysis of the types

of chronic stresses and disaster shocks people in a city face.

3.4.2 Analytical tool

The analytical tool, presented in Figure 3.4.2 below translates the

conceptual framework into a matrix that can be populated with

information from a range of scales – national, city, district or

neighbourhood. It provides a way for practitioners to transfer theory into

a practical tool by documenting patterns formed by CAS and plotting them

on the morphological layer where the greatest amount of impact is seen.

The tool can also be used to conduct a context analysis or a capacity and

vulnerability assessment because it is holistic, comprehensive and easily

adaptable.

As in the conceptual framework, the interdependent systems populate the

horizontal axis and morphological changes in physical and natural

environment populate the vertical axis. Once the user has decided on the

scale of analysis, the next step is to identify the hazard. The title of the

analytical tool ‘Urban Disaster Resilience’ is deliberately generic with the

word ‘disaster’ interchangeable with a number of natural hazards. The

next step is to fill in the boxes with analysis from the pairing of each of the

categories.

The names of the complex adaptive systems in the horizontal axis have

remained the same as presented in the conceptual framework, and are


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accompanied by a short list of examples of the type of information that

could potentially be included under each heading. For example, economic

forces are defined as things that ‘provide economic benefit such as money,

markets, businesses, rent, jobs, savings, loans, credit, ownership and

skills’. The governance networks are defined as involving ‘the organisation

of power and decision-making from local to national levels, such as

governments, institutions, leaders, networks, planning policies and legal

frameworks’. The social dynamics are described as including ‘social

interaction such as networks, social capital, discrimination, culture and

values. The social section also includes social services such as education,

welfare and healthcare.

While the essence of the categories and their definitions remain the same,

the names of the morphological layers have changed to words that more

colloquially communicate the concepts to people who do not have a

background in morphological or systems approaches. Deliberately simple,

but not simplistic, the names and descriptions reflect the kind of

information that is intended to populate boxes. For example, the

topography layer is described as ‘land and water’, and instructs users to

input information related to historical and recent changes in the use of

fields, rivers, lakes and other natural aspects.

The word ‘plot’ has been replaced with ‘parcels of land’ for users outside

of Europe who may find the classification of plots is less frequently used.

The ‘movement networks and public open spaces’ has been replaced with

‘roads and public spaces’ and defined as ‘changes in access to and quality

of roads and public spaces, including paths, playgrounds, parks and market

squares’. The category of buildings and services has stayed the same

because it was felt the name imbued the description, which is defined as

‘changes in access to and quality of homes, community centres, shops,

electricity, water and sewerage’.


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Figure 3.4.2 Analytical tool that uses the intersections of CAS and morphology to interrogate key elements of urban disaster resilience. Source: the author

Conclusion

This chapter explained the development of a conceptual framework that

seeks to explore urban disaster resilience. It began with a discussion of the

aim of the framework, which is to understand the relationships between

the built environment and people in order to identify dimensions of

resilience. It then discussed the two main components of the framework –

CAS and urban morphology.

It was explained that based on the literature review in Chapter One, it was

identified that economic, governance and social CAS are key systems used

for analysing the city, and therefore these systems were chosen as

categories for analysis along the horizontal axis of a matrix. The discussion

highlighted that CAS interact with each other, but also within their own


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component parts, such as land and housing, which have an inter-

dependent relationship within the economic CAS. The CAS section then

explained how the systems selected for this framework were triangulated

with systems from other key frameworks, identifying where the author’s

framework aligns with current thinking and where it deviates.

The chapter then discussed the use of urban morphology to analyse the

built and natural elements within a city at finer scales (referred to as

layers) that captures the historical transformation of relationships

between humans and the built environment. The four morphological

layers included in the framework are topography; movement networks

and public open spaces; plots and buildings and services.

This chapter ended by discussing that the culmination of the two urban

approaches results in a framework for urban disaster resilience. A lattice is

formed with CAS on the horizontal axis and layers of urban morphology on

the vertical axis. The lattice assists with analysis of patterns of

vulnerability, capacity, risk and resilience. Based on those patterns,

dimensions of resilience i.e. activities and factors that help a

neighbourhood better cope with and adapt to shocks and stresses, are

identified. The dimensions can then be analysed through a lens of power

in order to establish whether they are positive or negative by asking,

‘resilience for whom and to what’. Once the dimensions of resilience are

identified they can then be triangulated with findings from theory

regarding development and disaster recovery.

Having described the development of a conceptual framework for urban

disaster resilience, the next chapter will present the methodological

approach for this research, including how the conceptual framework will

guide the research.

Chapter four: methodological approach

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Chapter four Methodological approach

Introduction

This chapter addresses the question, ‘what is an appropriate methodology

for analysing urban disaster resilience in low-income neighbourhoods?’

Firstly, it opens with an explanation of the meta-theories from which this

research finds its grounding. Secondly, the overall research design is

explained, including how each of the individual objectives have been met.

Thirdly, a methodological framework is given for the types of data that

were collected, the methods that were used for collection and the

methods of analysis. Fourthly, a justification for utilising case studies is

made, followed by an explanation of the case study selection. Fifthly, an

explanation is given of how the analytical tool introduced earlier in

Chapter Three assists with data analysis, specifically through the

intersections between CAS and morphology. Sixthly, methods for

validating the findings are discussed, first from the perspective of the case

studies and then in terms of the generalisability of the conceptual

framework. Finally, the chapter closes with an explanation of the strengths


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and limitations of the study, and the ways in which the results will be

disseminated.

4.1 Meta-theories

This section explains the research’s inductive approach and its

epistemological underpinnings in interpretivistism.

4.1.1. Inductive research approach

This research takes a primarily inductive approach because it collects data

with the intention of seeing what patterns emerge from it and what

meanings can be extracted (Silverman, 2004). An inductive approach

creates space for ‘frequent’, ‘dominant’ and ‘significant’ themes to be

identified within the raw data (Thomas, 2006, p.238). For example, case

study data has been collected and significant patterns within it have been

identified.

4.1.2. Interpretivism

The epistemological position of this research is interpretivist. The research

is positioned in the belief that reality is made and remade by people, and

therefore subjective (Mason, 2005). Within the interpretivism perspective

there are three layers of interpretation: the first when individuals perceive

reality; the second when the researcher interprets an individual’s

perception of reality; and a third when the researcher’s understanding is

interpreted through the concepts and theories used by his or her discipline

(Mason, 2005).

4.2 Research design

This section aims to explain the research design and its links to the five

objectives described in the introduction of this thesis. A research design is

a logical structure of inquiry; it is a plan that systematically links the

research questions with the evidence that is collected and analysed (Yin,


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2014). It differs from a research method, which is the modality through

which data are collected. The logic of the research design is not influenced

by methods from which data is collected (Yin, 2014).

This research design is qualitative. Yin defines qualitative research as, ‘a

large body of research, embracing a variety of highly contrasting methods’

that study the meaning of people’s lives in real world conditions (2011,

p.7). Based on the research question and aim, a qualitative approach was

selected in order to explore, describe and explain urban disaster resilience

through methods that are flexible, allow for data collection rich in detail

and interpretive analysis that seeks to reflect participants’ perspectives

(Creswell, 2007). The qualitative methods for research through a case

study approach will be explained in the section 4.3 below.

The structure of this research is guided by five objectives set out in the

introduction. Collectively, the five objectives enable an answer to the

research question: What is an appropriate approach for understanding

urban disaster resilience in low-income settlements? The research

question is the driving force for this study and was formulated after

analysis of the research problem (related to challenges with rapid

urbanisation and the increase in frequency and severity of disasters in

cities) presented in the introduction.

The first objective, to develop a conceptual framework for urban disaster

resilience, was achieved through a literature review undertaken in Chapter

Two, which resulted in a synthesis of systems and morphology approaches

that formed the basis of the conceptual framework presented in Chapter

Three.

The second objective, the development of a methodology, is developed

and explained in subsequent sections of this chapter. The third objective,

to apply the methodology to a case study, is carried out at a city-scale in


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Chapters Five and Six (analysis of Bangkok), then again at a neighbourhood

scale in Chapters Seven, Eight and Nine (analysis of three

neighbourhoods).

Objective four, to propose dimensions of urban disaster resilience, is

described in Chapter Ten, when key dimensions of resilience are

identified. Objective five – to validate and revise the conceptual

framework and key findings – is presented in Chapter Eleven when

methods of validation are discussed. A graphic of the research design and

process is shown below in Figure 4.2.

Having explained the research design and the ways in which the research

objectives logically correspond with the chapters, the next section

discusses the types of data required, methods for collection and methods

for analysis.


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Figure 4.2: An overview of research design demonstrates how each chapter contributes to the fulfillment of a research objective. Source: the author


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4.3 Research methods

This section explains the methodological framework used to explore urban

disaster resilience within the case studies. Firstly, the required data types

are outlined. Secondly, the methods for data collection are described and

justified. Thirdly, methods of data analysis are explained.

4.3.1 Data types

Different types of data including visual data, documents and observations

were used to triangulate information in order to confirm reliability

(Bryman, 2008). Primary data (data gathered by the researcher) and

secondary data (data gathered from other reputable sources,

organisations or institutions) were used in the research. The types of

primary information required included perceptions of risk, vulnerability

and capacity. It also included perceptions of development and disaster

related activities as well as relationships within the neighbourhood and

external to the neighbourhood.

Secondary information gathered included maps that recorded public open

spaces major and minor transportation networks, rivers and canals, land

use, building use, flood impact and topographical/elevation levels.

Photographs provided by neighbourhood residents who had recorded the

flood and its impact were also analysed. Neighbourhood plans of housing

registration, land sharing agreements, drainage and electricity lines as well

as pedestrian lanes and alleyways were analysed. Housing models used to

support the incremental home upgrading were also reviewed. In the case

of documentation, three academic theses on the Bang Bua Canal were

reviewed covering topics including, social capital and participatory

upgrading (Archer, 2009); place making and participatory upgrading

(Wungpatcharapon, 2012); and architecture for poorer urban people

(Supitcha, 2010). Journal articles about the Bang Bua Canal were also

analysed alongside a number of student research projects that were


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published online. The author’s notes from participant observations and

journals entries were also included for analysis.

4.3.2 Methods of data collection

Six methods for collecting data were used, which were: 1.) participatory

appraisal tools; 2.) semi-structured interviews, including those with key

informants; 3.) focus group discussions (FGDs); 4.) workshops; 5.)

participant observation; and 6.) journal entries. Table 4.3.2a summarises

the types of methods and number of participants engaged in each. A

summary of how each methods was used is explained below. A ‘purposive

sampling’ approach was taken when selecting participants for the research

with the aim of seeking samples of participants who will advance the goals

of the research and assist the research question to be answered (Bryman,

2008).

1. Participatory appraisal tools

Many development and humanitarian actors favour participatory appraisal

tools because of a ‘bottom up’ approach to data collection whereby local

people are viewed as experts, and priority is given to their views and

perceptions (Pretty et al., 1995; World Bank, 2013; Chambers, 1994). The

key tenets are participation, flexibility, triangulation, and mutual learning

between researcher and community (IFRC, 2007b). In order to gain an

overview of each neighbourhood, the research used five participatory

tools to collect spatial, social and political data, namely transect walks,

household vulnerability assessment, timelines, historical profiling and

Venn diagrams, each of which is explained below.

a. Transect walk: A transect walk with neighbourhood residents

allowed the researcher to observe a slice of each ‘zone’ or area of

the neighbourhood to get a feel of the physical environment and

the social relationships within in (Geilfus, 2008). One transect walk

was done per neighbourhood, and was lead by local residents.


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b. Historical profile: A historical profile was used to track changes in

the social, political, economic and physical context in order to shed

light on causal links between the changes. Historical tracing asks

individuals or groups to begin with current experiences and to go

back in time (IFRC, 2007b). One historical profile was done for each

neighbourhood, and was lead by local residents.

c. Venn diagrams: A diagram of circles was drawn to represent

different actors and their influence based on the size of the circle

and its position in relation to other circles. The activity was used to

understand relationships between actors and institutions as well as

their similarities and differences (Chambers, 2002). One Venn was

done by two leaders.

d. Household vulnerability assessment: Used as a means for

neighbourhood residents to self identify levels of vulnerability in

the community through the collective creation of criteria (IFRC,

2007b), considering physical, social, economic and political aspects

of vulnerability. One assessment was done for each neighbourhood

with eight people participating overall.

e. Timeline: Timelines were drawn to depict events that occurred in

the 2011 flood. Participants drew a line on paper and indicated

with words and pictures, the events that occurred during a specific

time frame (Theis and Grady, 1991). One timeline was done for

each neighbourhood with eight people participating overall.

2. Semi-structured interviews with key informants

Semi-structured interviews, where open ended questions are asked so

that the issues raised by the interviewee can be followed upon (IFRC,

2007b), were used as a data collection method. Interviews covered broad

topics including the history of the area, development processes that

occurred before the flood and the types of activities that took place in the

neighbourhood during and after the flood.


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Semi-structured interviews were conducted with key informants. A key

informant is defined in this research as someone who has an opinion or

perception of the case under study (de Vaus, 2001), and can provide

valuable information about the construction of their social reality

(Bryman, 2008).

In total, 141 semi-structured interviews were undertaken. Of these, 50

were with key informants. Interviewees were drawn from one of the

following six groups: aid agencies (international and local, UN agencies),

26 interviews undertaken; journalists, one interview undertaken;

academics/think tanks, six interviews undertaken; business people, three

interviews undertaken; the government (at various levels), nine interviews

undertaken; and key people from each of the three case studies (four of

the neighbourhood leaders were interviewed and categorised under the

non-neighbourhood key informants list in order to protect their identity).

A total of 91 semi-structured interviews were undertaken with people

from the three neighbourhoods. A complete list of the key informants is

included in Appendix A. The questions used in the semi-structures

interviews are included in Appendix B. A sample of the interview

transcriptions is included in Appendix C (the remaining transcripts are

appended to this thesis in a CD). The literature review in Chapter Two

informed the choice of key informants by identifying key groups of people

who make decisions in the city and hold different degrees of power.

To protect the identity of key informants, a coding system was used.

Neighbourhood residents from Bang Bua Neighbourhood for example

have been coded ‘BB’ followed by a number e.g. BB1, BB2, BB3 and so on.

The same system has been applied to key informants from Saphan Mai

using ‘SM’ as the code followed by a number e.g. SM1, SM2, SM3 etc. and

in Roi Krong the code used is ‘RK’ and a number e.g. RK1, RK2, RK3 etc.

Non-neighbourhood key informants have been coded ‘KI’ followed by a

number e.g. KI1, KI2, KI3 and so on. At times the neighbourhood leaders


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are also identified as KI to protect their identity. The abbreviation is always

accompanied by a descriptive titled that indicates the key informant’s

general background (such as government or aid agency) as well as their

gender.

3. Focus group discussions

Focus group discussions (FGDs) are small groups of knowledgeable people

who gather together to discuss a common theme (Creswell, 2007). FGDs

can be more relaxed than one-to-one interviews, and are useful for

checking tentative conclusions (Marshall and Rossman, 2011). In this

research FGDs were used as a way to collect information and identify

problems. In total, seven FGDs took place; five in the neighbourhoods

(three in Bang Bua Neighbourhood, one in Saphan Mai and one in Roi

Krong); one with a large lending institution and one with a local aid agency

in order to explore key aspects of development work in the

neighbourhoods as well as prevention, response and recovery during the

2011 floods. FGDs were also undertaken to validate findings (one FGD per

neighbourhood, which will be discussed in section 4.6 (Methods of

Validation) in this chapter). A sample of focus group discussion questions

and transcripts are included in Appendix D. Transcripts of all FGDs

undertaken can be found in the CD appended to the hard copy of this

thesis.

4. Participant observation

Participant observation was used as a tool to gain a more complete

understanding of the neighbourhoods and the relationships in them. PRA

tools were used for data collection and analysis by engaging participants in

activities that communicated opinions and perceptions, in order to

identify key capacities and vulnerabilities. Conclusions reached through

the use of other tools were triangulated with participant observation

(Geilfus, 2008).


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5. Workshops

Following the data collection and analysis, three workshops were held

with 69 participants to validate the conceptual framework and

accompanying analytical tool (described below in section with a range of

actors, including urban professionals (planners, architects and real estate

developers) academics and aid workers. The workshops aimed to validate

the generalisability of the conceptual framework and analytical tool with

other international case studies, and are discussed further in section 4.5

(Analytical tool) in this chapter.

6. Journal

A daily and weekly journal was kept in order to track activities, lessons

learned and reflections about the research. A diary is helpful in identifying

re-occurring themes.

Method Number Participants

Participatory appraisal tools (Clermont et al.) a. Transect walk b. Historical profile c. Venn diagrams d. Household

vulnerability assessment

e. Timeline

a. 3 (1 per

neighbourhood) b. 3 (1 per

neighbourhood) c. 1 Venn diagram d. 3 (1 per

neighbourhood) e. 3 (1 per

neighbourhood)

a. 6 neighbourhood leaders/

upgrading leaders/committee members

b. 9 older people in the neighbourhood

c. 2 leaders d. 8 committee members

and residents e. 8 committee members

and residents

Semi-structured interviews

141 a. 50 with key informants b. 91 with residents

FDGs 7 58 residents (36 from Bang Bua Neighbourhood, 9 from Sapham Mai, 13 from Roi Krong)

Participant observation

Daily Hundreds

Workshops 3 workshops 69 participants from 15 countries

Journal Daily N/A Table 4.3.2a: A summary of the types of methods, number of participants and frequency of use (where appropriate).


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4.3.3 Methods of data analysis

Two primary methods of data analysis were employed. The first method,

morphological analysis, was based upon the four layers of morphology

used in the conceptual framework (Chapter Three), namely topography,

roads and open spaces, plots, and buildings and services. Morphological

analysis assists with understanding the inter-relationships between social,

economic, historical, cultural, political and spatial aspects of a city (Bolio

Arceo, 2012). The methodology is inter-disciplinary and reflects that fact

that a city can be ‘read’ by its physical form (Moudon, 1997). Moudon

writes that urban morphology is a globally proven methodology that has

been applied in North America and Europe, but has yet to be used more

widely in other regions of the world (1997).

In this research, three key types of data were collected to assist with

morphological analysis, namely maps, photographs and historical data.

The types of maps included topographical, aerial, geographic information

systems (GIS) and satellite imagery, which reflected the historical

transformation of Bangkok, the recent upgrades of neighbourhoods in the

Bang Bua Canal and the impact of the 2011 flood. Photographs were also

collected. In particular, photographs of the Bang Bua canal and its houses

before and after the flood were gathered, alongside photographs of the

types of activities that took place during the three-month flood period. A

range of documents were reviewed and analysed to construct an

understanding of the historical context of Bangkok and the Bang Bua

Canal. This included theses, government documentation (written policies

and laws). Project reports, rapid assessments and programme evaluations

from aid agencies were also analysed in order to understand gaps in the

flood response and recovery process.

The second method of analysis used was coding using NVivo software,

which facilitates in-depth qualitative data analysis. Categories for analysis

were developed based on the conceptual framework. For example,


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morphological categories (topography, movement networks and public

open spaces, plots and buildings and services) and CAS categories

(economic, governance and social) were created. Information that fits into

those categories was coded accordingly. Information that did not fit into

those categories such as who was the most vulnerable was coded into

separate categories, such as ‘most vulnerable’ in this example. Analysis of

key informant interviews, FGDs, journal entries, PRA activities, participant

observations and workshop notes was undertaken using NVivo software.

The coding was organised by neighbourhood, differentiating between pre-

flood and post-flood data, with links between how one affects the other.

The analysis sought to identify patterns and trends as well as links and

causations.

Although the researcher speaks a basic level of Thai, additional translation

was required to navigate the complexities of the research topic. Therefore,

eight translators were hired to assist from a nearby local university in

Bangkok. The translators asked interviewees questions in Thai and then

translated their answers into English. Notes were then taken in English

based upon the translation given and coded using NVivo software.

4.4 Case study approach

A case study approach has been selected in order to understand ‘complex

social phenomena’ following a rigorous methodological design strategy

(Yin, 2014, p.4). The case study approach is the primary methodology used

for understanding urban disaster resilience in low-income settlements.

The proposition for this research is that appropriate development

investments in physical infrastructure and economic, social and

governance systems will reduce disaster risk for low-income

neighbourhoods. A case study approach highlights cases where the

proposition worked and did not work while underscoring commonalities

and differences in each case.


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4.4.1. Rationale for using a case study approach

A case study approach is taken when analysis of the sum of all the parts

offers a fuller, more complex understanding within a context than analysis

of any of the single parts could offer on their own (de Vaus, 2001). In a

case study, the primary question is how well the researcher is able to

generate theory out of its findings; the secondary question is whether the

findings can be generalised (Yin, 2003). Theory-building case studies begin

with a question and a basic proposition, and then look at cases to establish

a more specific theory, set of propositions or findings (de Vaus, 2001).

Then, the conceptual framework will be revised based on the cases

studied.

To these ends, three idiographic case studies were conducted to compare

and contrast the unique features of each case based on the premise that

the three case studies ‘epitomise a broader category of cases’ that are

representative of the subject of enquiry (Bryman, 2008, p.56). Within the

three cases there are many units of analysis at different levels, which

makes it important to provide thorough descriptions that reconstruct the

history of each case in order to lead to good explanations and a holistic

analysis of the units (Yin, 2014). Case studies make use of a wide variety of

data collection methods that best suit the different units of analysis (de

Vaus, 2001). The criteria for judging the quality of a case study design

includes construct validity (measuring a set of subjective criteria by using

multiple sources and a chain of evidence); internal validity (matching

patterns between cases); external validity (demonstrating how the

findings can be generalised beyond the study); and reliability (showing

how the study could be replicated) (Yin, 2014).

4.4.2. Identification of a case study city

This case study design involves the strategic selection of cases that use

real world situations in order to understand urban disaster resilience.

Some cases are selected because it is assumed they will provide support


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for existing theories; others are chosen because they might disprove the

proposition (de Vaus, 2001).

Criteria for selecting a case study city for this research included: the

presence of development work; exposure to disaster risk; a disaster event

having taken place in living memory; and the existence of disaster

management policies and procedures. As a result Bangkok, Thailand’s

capital city was chosen due to the presence of low-income, vulnerable

neighbourhoods engaged in poverty reduction work; the existence of

disaster management laws and coordination mechanisms; the occurrence

of the 2011 flood disaster; and the city’s continued exposure to flood risk.

A map of Bangkok is shown below in Figure 4.4.2a. Informal settlements in

Bangkok are host to everyday and chronic risks described in Chapter One –

inadequate housing, no secure tenure, inadequate access to public

services such as electricity and water and public infrastructure such as safe

roads, public open spaces and health care facilities.


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Figure 4.4.2a: A map of Bangkok, the capital city of Thailand. Source: the author adapted from the (Department of City Planning, 2014c)

Bangkok is a low elevation coastal city (Philip, 2011) and is a national

economic hub (Center for Excellence in Disaster Management and

Humanitarian Assistance, 2015). While it has been a mostly stable

democracy, the city has had recent periods of civil unrest from 2006 when

former Prime Minister Thaksin Shinawatra was ousted in a military coup

(Peel, 2014) until the time of writing when a military government was in

place having taken over government on April 15, 2015 (BBC News, 2015).

Bangkok has a strong civil society. According to the Asian Development

Bank, ‘Thai civil society is now varied and diverse, and coexists with strong

constitutional guarantees of direct political participation, freedom of

assembly, requirements for government consultation, and local

determination of community rights’ (2011, p.2). In 2007 the government

enacted the National Disaster Prevention and Mitigation Act, which

designates key roles and responsibilities for different government agencies

in the case of a disaster. Bangkok also has high exposure to annual flood

risk (World Bank, 2010). The city has experienced flooding in living

memory, the most recent being the 2011 flood (Koontanakulvong, 2012).

Exact numbers of local and international NGOs working in Thailand, and

more specifically Bangkok, are difficult to come by as there is no

mandatory centralised registration mechanism, but a small number of

international aid agencies keep a presence alongside a wide range of civil

society organisations (Asian Development Bank, 2011).

4.4.3 Identification of case study neighbourhoods

Three neighbourhood case studies were chosen in order to validate the

basic proposition that good development builds disaster resilience. While

all three neighbourhoods had been badly impacted by the 2011 flood, they

varied in the degree of developmental gains obtained before the flood


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occurred. The first neighbourhood was selected because it had

experienced strong development gains; a second was chosen for having

experienced some developmental gains. The third was chosen for having

experienced little improvements.

The area where the neighbourhood case studies were undertaken is the

Bang Bua Canal, located in northwestern Bangkok. Bang Bua

Neighbourhood (Bang Bua is the name of the canal and also of one

neighbourhood in the canal. To avoid confusion the former will be

referred to as the Bang Bua Canal and the latter as Bang Bua

Neighbourhood), Saphan Mai Neighbourhood and Roi Krong

Neighbourhood are geographically located in a similar area – a three-

kilometer stretch of land as illustrated in Figure 4.4.3a, and have been

exposed to a range of economic, social and political development

interventions.


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Figure 4.4.3a: A satellite image of the Bang Bua Canal in northwestern Bangkok. The three neighbourhoods chosen as case studies are located along a three-kilometre stretch of canal. The neighbourhoods are Saphan Mai, Bang Bua Neighbourhood and Roi Krong. Source: (Department of City Planning, 2014b)


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Three neighbourhoods were chosen because they meet seven criteria

developed for understanding disaster resilience in low-income

neighbourhoods (listed in Table 4.4.3a below). All three neighbourhoods

are deemed low-income (KI13, a senior member of an aid agency; KI14, a

local aid worker KI37; a district government officer) based on the fact that

most people earn less than two USD per day, meeting the first criterion.

All neighbourhoods host informal governance structures associated with

an incremental upgrading project (discussed in Chapters Five and Six),

fulfilling the second criterion. The third criterion is that of informality, and

all three neighbourhoods have been informal at one time, or are still

regarded as so today. All three neighbourhoods fulfill the fourth criterion

of having experienced a flood disaster in living memory when the 2011

flood impacted them. The fifth criterion of the presence of settlement

upgrading is met through the existence of an upgrading programme that

started in 2004. The sixth criterion of aid agency presence is met through

the upgrading project. Finally, the criterion of having neighbourhood

leaders present is fulfilled through formal government elections and

informal leadership elections for upgrading. Table 4.4.3a below provides a

summary of the criteria.

Neighbourhood Case Study Selection Criteria Bang Bua

Neighbourhood Saphan Mai Roi Krong

Low-income (less than $2 per day)

X X X

Informal governance structures

X X X

Informal settlement X X X

Flood disaster in living memory

X X X

Slum upgrading X X X

Aid agency interventions X X X

Neighbourhood leaders X X X

Table 4.4.3a: Criteria for selecting neighbourhood case studies in Bangkok, Thailand. Source: the author


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Using the above criteria, the researcher traveled to Bangkok in search of

neighbourhoods to conduct the study in. She was introduced to the Bang

Bua Canal through a university lecturer who had conducted thesis

research there. The author made the decision to conduct her research in

the canal due to a positive and welcoming response by leaders within the

Bang Bua Canal and a perceived sense of trust between the researcher and

canal leaders who agreed to participate in the research.

The following section gives a summary of the three case study

neighbourhoods, starting with the Bang Bua Neighbourhood, selected for

its strong development gains; Saphan Mai for its more moderate

development gains; and Roi Krong for its lesser gains.

Case study one: Bang Bua Neighbourhood

Bang Bua Neighbourhood is well known for its upgrading success, and is

often visited by other researchers as a study of good practice. There are

229 households, most of which have been reconstructed within three

years based on a collaborative community vision and a series of land

sharing negotiations amongst residents. The neighbourhood formed a

legal cooperative and has a 90-year lease agreement on the land. Figure

4.4.3b below shows a photograph of Bang Bua Neighbourhood in 2014.

Figure 4.4.3b: A view of Bang Bua Neighbourhood. Source: the author


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Case study two: Saphan Mai

Saphan Mai took approximately 14 years to reconstruct its 106

households. It has had modest development gains. Part of this community

did not trust the upgrading process, entrenching it in a deadlock until the

2011 flood occurred and trust was built during the flood response. Since

then, the remaining 45 homeowners have been granted access to loans to

reconstruct their homes, resulting in an upgrading rate of 100 per cent.

Saphan Mai is also a legal cooperative and has a 90-year lease agreement

on the land. Figure 4.4.3c below shows a photograph of Saphan Mai in

2014 while upgrading processes were still underway.

Figure 4.4.3c: A view of Saphan Mai. Source: the author


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Case study three: Roi Krong

Roi Krong has had the least development success of the three

neighbourhoods. It is divided between those who participate in the

upgrading scheme (approximately 40 per cent) and those who oppose it

(approximately 60 per cent). The neighbourhood has 126 houses, and is a

mix of affluent and low-income people. Opposition to the upgrading

comes primarily from wealthy property ‘owners’ and those whose main

source of income comes from room rentals. Many of the upgrading

opponents say they are prepared to be evicted rather than give up income

and land. Roi Krong has a cooperative but it is currently too small and too

undersubscribed to be able to afford to rent the land. Figure 4.4.3d below

shows a photograph of Roi Krong in 2014 where a small amount of

upgrading had taken place.

Figure 4.4.3d: A view of Roi Krong (houses on the left). Source: the author

The author spent a total of seven weeks in Bangkok, between February 8

and March 29 in 2014. Fieldwork was undertaken sequentially in each of

the three neighbourhoods: 14 days in Bang Bua Neighbourhood, 14 days in

Roi Krong and 14 days in Saphan Mai with one week to follow up on gaps


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in information from all three neighbourhoods. Initial contacts were made

via a Thai doctoral graduate who had also done research in the Bang Bua

Canal. To assist in data gathering, the author hired eight Thai researchers

who assisted in note taking and in translation (while the author speaks

Thai having lived in Bangkok previously, her level of fluency was not

always sufficient). The schedule used for engaging the eight translators is

included in the CD appended to this thesis.

4.5 Analytical tool

The data analysis was structured using the analytical tool presented in

Chapter Three. The tool presents economic, governance and social

complex adaptive systems across the horizontal axis and the built and

natural environment into four morphological layers on the vertical axis.

Data is then plotted on the matrix. The intersections between CAS and

morphology identify dimensions of resilience. The tool can also assist with

identifying patterns of strengths, weaknesses, opportunities and threats

through the plotting of data. The analytical tool is shown below in Figure

4.5.


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Figure 4.5: An analytical tool for understanding urban disaster resilience. Source: the author


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4.6 Methods for validation

Findings were tested for validity on two levels. Firstly, specific findings

regarding urban disaster resilience in the three neighbourhood case

studies were tested through respondent validation, a process whereby a

researcher provides respondents with an account of her findings and seeks

to corroborate them (Bryman, 2008). One FGD was held in each

neighbourhood to ascertain the validity of each set of case study findings.

Eight to 13 men and women from each neighbourhood (including people

in leadership roles) attended each meeting: eight men and five women in

Bang Bua Neighbourhood; one man and seven women in Saphan Mai; and

four men and eight women in Roi Krong.

Once validated, the findings in each neighbourhood were merged into a

final list that was tested against the conceptual framework seeking to

answer: are these findings representative of the theories and categories

developed in the conceptual framework? This final check is that of internal

validity, which seeks to match a researchers observations with the

theoretical ideas they develop (Bryman, 2008). The conceptual framework

was then adjusted based upon the evidence in the case studies. Table 4.6a

below gives a visual depiction of the overall process and methods for

validating findings specific to the case studies.


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Findings on urban disaster

resilience

Method of validation

1. Case study one: Bang Bua

Neighbourhood

Focus group discussion in Bang Bua

2. Case study two: Saphan Mai Focus group discussion in Saphan Mai

3. Case study three: Roi Krong Focus group discussion in Roi Krong

4. Consolidated findings Tested against the conceptual

framework

Table 4.6a: A table listing the findings from each case study on the left and the method for validation on the right. Source: the author

The second level of testing focused on the generalisability of the

conceptual framework and analytical tool. Testing the conceptual

framework and analytical tool challenged the research’s external validity

by attempting to generalise, which can be difficult for ‘qualitative

researchers because of their tendency to employ case studies and small

samples’ (Bryman, 2008, p.377).

However, in an attempt to test generalisability, workshops were held with

academics, urban professionals (urban planners and designers, architects)

and aid workers to see how relevant and applicable the framework is for

collecting and analysing information about urban disaster risk in cities

around the world.

The validation process took place with 69 participants from 15 countries.

Workshops were held with postgraduate students and staff in two

universities (Oxford Brookes University (OBU), where the researcher is a

student, and the Norwegian University of Science and Technology (NTNU),

where the researcher was a visiting student researcher) and with one aid


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agency (the British Red Cross, (BRC)), identified as an active urban focused

humanitarian agency through the literature review in Chapter Two.

The two universities and the BRC are engaged in research and practice

based activities related to development and disasters. Students were

asked to apply the urban disaster resilience conceptual framework and

analytical tool to their research and/or projects respectively which

spanned across a total of 15 different case studies, 13 of which were

linked to a development or disaster themes.

Table 4.6b below provides a summary of the institution where the

validation process took place, the number of participants, the nationalities

of the participants, the department represented by the participants and

the case studies used.


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Institution Participants Nationalities Departments Case studies

Norwegian University of Science and Technology (NTNU)

8 PhD candidates 4 Masters students 1 Teaching Assistant 1 University Professor

Norwegian Canadian British German Ethiopian Columbian Austrian Malawian

Architecture Planning & Urban Design Geography Urban ecological planning

IDPs in Nigeria Vanuatu cyclone Favelas in Brazil Conflict in Yemen IDPs in Kenya

Oxford Brookes University (OBU)

7 PhD candidates 16 Master students 5 Professors

Iranian British Filipino German Iraqi Indonesian Italian Brazil Kenya

Architecture Planning and Design Real Estate

Philippines typhoon Haiti earthquake Malawi floods Syrian refugees Norwegian fire disaster Bicycle lane planning Sustainability of non-residential buildings

British Red Cross (BRC)

27 people Unknown West and Central Africa, East and South East Asia, Middle East and North Africa (MENA), West Asia, Performance and, Accountability, International Law, Humanitarian Policy, Logistics, DRR, Health and care, Water and Sanitation

Haiti earthquake Philippines typhoon South Sudan conflict Other case studies unknown

Total 69 15 16 15

Table 4.6b: A summary of the participants engaged in the validation process, including the institution, participants’ nationalities, department and case studies used. Source: the author


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4.7 Dissemination of results

The results of this study will be shared with participants, and more

generally with people who are interested in the topic of urban disaster

resilience. Dissemination to participants will occur through different

channels for different groups of key informants. Each key informant who

has indicated on the consent form that they would like an electronic copy

of the thesis will be emailed one. The thesis will ensure to preserve the

anonymity of every individual interviewed. A summary of research findings

will be translated and shared with neighbourhood leaders. Journals will

also be targeted to disseminate the research more broadly. Journals such

as Environment and Urbanization, PLoS Currents: Disasters and Disaster

Resilience in the Built Environment journals will be pursued. Table 4.8

below summarises the types of products for dissemination in the left

column, the groups that will be targeted in the centre and the method of

delivery in the right column.

Product for dissemination

Target group Method of delivery

Full thesis Individual key informants who indicated on their consent forms that they would like a copy of the thesis

Email soft copy

Hand deliver hard copy of a summary of research findings to neighbourhoods with assistance from translators

Dedicated research web pages such as ResearchGate

Journal articles (English)

Journals such as Environment and Urbanization, PLoS Currents: Disasters and Emerald’s Disaster Resilience in the Built Environment

Submit articles

Table 4.8: The types of products for dissemination are listed in the left column, the groups that have been targeted in the centre and the method of delivery in the right column. Source: the author


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The author presented tentative findings at a conference, ‘Design for urban

Disaster’, held at Harvard University in May 2014, and was subsequently

invited to submit a chapter for an edited book, ‘Urban Disaster Resilience:

New Dimensions from International Practice in the Build Environment’,

which is due for publication in the USA in 2016.

Limitations within the research are discussed later in Chapter 12, the

concluding chapter, where the methodological approach of the research is

reflected upon.

Conclusion

This chapter explained the methodological approach that was used to

achieve the overall aim of developing a conceptual framework for

understanding urban disaster resilience. By outlining a research strategy,

this chapter aimed to answer the question, ‘What is an appropriate

method for analysing disaster resilience within low-income

neighbourhoods?’

The chapter began with the meta-theories from which the research is

grounded in. It explained the research is inductive because it collects data

in order to extract patterns and meanings. It also explained that it is

interpretivist, believing that reality is subjective because it is made and

remade by people. The chapter then explained the research design as a

logical structure of inquiry that systematically achieves the research

objectives through the collection of evidence based on the research

question. The research is qualitative in its design and is based on a case

study approach that embraces many methods of data collection and

analysis. The case study approach provides an opportunity to study real

world conditions and the meanings people attach to their lives.


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The chapter then explained the research methods used to understand

urban disaster resilience. It highlighted the need for primary and

secondary data to be collected through PRA, semi-structured interviews

with key informants, FGDs, workshops, participant observation and journal

entries. It then explained that data analysis was carried out through

morphological analysis of physical data collected from sources such as

maps, plans and observations of the built and natural environment.

Coding, using NVivo software was also used to categorise economic,

governance and social data.

The chapter then discussed the case study approach, underscoring that

the case study was chosen because it allows for investigations of complex

social phenomena. Moreover, it highlights where the proposition worked

and did not work by analysing commonalities and differences within the

data. The proposition in this research is that good development

investments reduce disaster risk. Three neighbourhoods in Bangkok were

chosen for study based on seven criteria, including that they were all

affected by a flood in 2011, were all deemed low-income and had

exposure to the same development opportunities with different

outcomes. The three neighbourhoods were chosen because they were

thought to both disprove and support the proposition.

The chapter then explained that an analytical tool was developed to

compliment the conceptual framework. The tool assisted with data

analysis by enabling data to be plotted on CAS and morphological layers.

The intersections between CAS and morphology identify dimensions of

urban disaster resilience. The chapter then explained the process of

validating its findings. Validity was tested at two levels; first at the

neighbourhood level through a focus group discussion in each

neighbourhood in order to test the findings and second, the

generalisability of the conceptual framework and analytical tool. The

validation of the conceptual framework and tool involved 69 participants


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from 15 countries. Workshops were held with two universities and one aid

agency whereby the framework and tool were applied to 15 case studies.

The chapter closed with an explanation of how the study results will be

disseminated, in particular through journal articles, emailing the full thesis

to key informants who wish to receive a copy and sharing a hard copy with

the neighbourhoods delivered by the research assistants.

The next chapter analyses chronic stresses in the Bang Bua Canal using the

conceptual framework introduced in Chapter Three.

147

Part III. Case studies analysis

Chapter five: analysis of chronic stresses in Bangkok and the Bang Bua Canal

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Chapter five A systems and morphological analysis of chronic stresses in Bangkok and the Bang Bua Canal

Introduction

This chapter uses the theories from the conceptual framework introduced

in Chapter Three to conduct analysis of the historical transformation of

everyday risks in in the Bang Bua Canal, specifically in the three

neighbourhood case studies introduced in Chapter Four. As with the

conceptual framework, this chapter is structured according to four

morphological layers: topography; movement networks and public open

spaces; plots; and buildings and services.

Firstly, the topography layer explains the Bang Bua Canal’s historical

transition from an agricultural history dependent upon regular flooding to

a market-driven present day that attempts to contain natural flood

processes. Secondly, the movement networks and public open spaces

layer explains the historical transformations of streets, roads and other

mobility networks influenced by economic opportunities and historical


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political battles for power. Thirdly, the plots layer interrogates the

dramatic ways in which neighbourhood and individual plots along the

canal have changed through an incremental housing and land upgrading

programme facilitated by a local aid agency. The final morphological layer,

buildings and services, explains the role of informal activities and formal

planning regulations that shaped housing density and access to services,

amongst other things. Importantly, each layer interrogates the ways in

which economic, governance and social systems influence the built and

natural environment prior to the 2011 flood, essentially asking, what

development activities reduced everyday risks?

This chapter therefore analyses the Bang Bua Canal and its struggle to

exist in the face of eviction. The aim of analysing the canal’s overall

physical and natural environment in relation to economic, governance and

social systems is to identify patterns of systemic vulnerabilities and

capacities that contribute to building and reducing the impact of everyday

risks.

Introduction to the Bang Bua Canal

The section of the Bang Bua Canal bordered by Phahonyothin and Chaeng

Wattana Road (see Figure 5.0b), at approximately three kilometers long, is

host to 12 neighbourhoods with an estimated population of 17,000 people

(Wungpatcharapon and Tovivich, 2012b). Situated on the northwest side

of Bangkok, the canal straddles the administrative border between Bang

Khen and Lak Si district governments. There are seven communities in

Bang Khen district and five in the Lak Si district. The map of Bangkok’s

municipal boundaries shown below in Figure 5.0a illustrates Bang Khen

District on the right and Lak Si on the left. Figure 5.0b indicates the

location of each neighborhood along the canal.


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Figure 5.0a: A map of Bangkok indicating the location of the Bang Bua Canal straddles two administrative districts: Lak Si on the left and Bang Khen on the right. Source: BMA (Department of City Planning, 2013d)


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Figure 5.0b: A map of the Bang Bua Canal, depicting Saphan Mai at the bottom, Bang Bua neighbourhood in the middle and Roi Krong neighbourhood at the top. Source: (Department of City Planning, 2014b)


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5.1 Topography layer

This layer analyses the natural landscape of Bangkok, seeking to

demonstrate the ways in which the land and water have changed over

time. The analysis aims to show that historical Bangkok has a

topographical pre-disposition to flooding thereby creating a complex web

of risk and exposure in present day Bangkok.

5.1.1 Agricultural economy

Bangkok is rooted in an agricultural past of rice farming (Roachanakanan,

1999), and became the capital of Thailand in 1767 (Webster, 2004). Much

of the delta city is below sea level (World Bank, 2010), with some parts as

low as -1.5 meters (Philip, 2011). This results in seasonal flooding, which

was traditionally utilised in annual rice farming. In 1953 Bangkok covered

67 square kilometers, and the area where the Bang Bua Canal was located

was surrounded entirely by rice fields (Roachanakanan, 1999). One elderly

woman from Saphan Mai Neighbourhood recalls that in the 1950s land

use was dominated by rice farming. She said, ‘We were very poor when I

grew up here. The rice farmers were rich. My father worked for one … The

walkways were mud. I used to take my shoes off a lot’ (SM8, 2014).

The elevation map of Bangkok in Figure 5.1.1a below indicates elevation

levels within Bangkok as low as -1.3 meters (lighter shade) and as high as

3.7 meters (darker shade). The Bang Bua Canal is historically less prone to

flooding due to its location on the edge of the higher elevation zone.


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Figure 5.1.1a: An elevation map of Bangkok with the locations of the neighbourhoods depicted. Neighbourhood one is Bang Bua neighbourhood. Neighbourhood two is Saphan Mai. Neighbourhood three is Roi Krong. Source: (Department of City Planning, 2013a).


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Throughout Bangkok’s history, its canals were used in a variety of ways,

such as, as a domestic water source, a method of irrigating paddy fields

and as a means of transportation (Roachanakanan, 1999). In the 20th

century, existing canals were maintained and new ones were built. In

1902, King Rama V established the ‘Canals Department’ to conduct canal

maintenance for transportation and storage of agriculture products (Royal

Irrigation Department, 2015).

In 1914, King Rama VI replaced it with the ‘Barges Department’ in order to

focus on irrigation works (Royal Irrigation Department, 2015). Later, in

1927, King Rama VII focused on new canal excavation, water distribution

and water pumping for cultivated land under the auspices of a new ‘Royal

Irrigation Department’, which remained operational at the time of writing

(Royal Irrigation Department, 2015). Over the years, new canals were

accompanied by dikes and levees designed for flood prevention

(Roachanakanan, 1999). The government map in Figure 5.1.1b below

identifies canals that exist in present day Bangkok.

When Bang Bua Canal residents were asked to recall the historical ways in

which they interacted with the canal and surrounding land for this

research, older interviewees who were children between the mid 1930s to

the early 1950s described a time when people relied on the canal for a

daily subsistence diet of shrimp and fish (BB14, an elderly woman; RK29,

an elderly man; RK31, an elderly man; SM17, an elderly man). The 1968

historical map of Bangkok in Figure 5.1.1c below reflects that the area

around Bang Bua Canal was a primarily rural landscape with rice fields and

forests. The black dots indicate few houses existed along the canals.


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Figure 5.1.1b: A map of the rivers, canals and waterways in present day Bangkok. Neighbourhood 1 is Bang Bua. Neighbourhood 2 is Saphan Mai. Neighbourhood 3 is Roi Krong. Source: (Department of City Planning, 2013c)


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The major roads and highways however, have remained the same as what

is reflected on the 1968 map in Figure 5.1.1c below. During that time,

people from provinces outside of Bangkok began to migrate to the Bang

Bua Canal in search of jobs and an improved quality of life. An 88 year-old

man from Roi Krong remembers moving to the area as a young child so his

father could take up a job as a gardener at Phranakhon Rajabhat

University that shares a property line with the canal (RK29). In more

recent years, people evicted from other areas of Bangkok have also

migrated to the area (Wungpatcharapon, 2012).

Modernisation and rapid economic growth accompanied by a lack of

environmental regulations or the implementation of regulations left the

Bang Bua Canal heavily polluted with large amount of rubbish lining the

water, untreated sewerage and grey water draining into the canal as well

as other toxic agents.

According to key informant interviews and focus group discussions with

middle-aged and elderly people in the canal (BBFGD1, BBFGD2, BB1, BB13,

BB9, BB10), the relationship between canal residents and the natural

environment gradually changed; today it is no longer possible to rely on

the canal for drinking or bathing water, nor is it safe to eat the fish or

shrimp due to high levels of toxins. In a meeting with the central

government’s Ministry of Natural Environment, several community leaders

(BBFGD1) identified 1989 as a point in time when they themselves realised

the canal had became dirty, that buildings had overtaken the prevalence

of rice fields and that subsistence food production stopped.


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Figure 5.1.1c: A 1968 map of Bangkok reflects a primarily rural landscape with vast rice fields. Black dots indicate few houses existed along the canals, including the Bang Bua Canal. Major roads and highways have remained the same. A black arrow indicates the Bang Bua Canal. Source: (Royal Thai Survey Department, 1968) Source: (Royal Thai Survey Department, 1968)


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5.1.2 The politics of water management

Over the years, Bangkok’s natural environment has been shaped by

systems of governance networks that have increased exposure to floods.

For example, a significant number of canals, historically built as

transportation means, are now home to poorer people encroaching on

canal banks or have been filled with land and turned into roads (UNESCAP,

2014). Urbanisation has decreased the percentage of permeable surfaces

that can absorb rainfall. Decades of weak urban planning and lack of

enforcement of land use regulations has led to uncontrolled growth of

under-serviced neighbourhoods such as informal settlements (UNESCAP,

2014).

Upstream from Bangkok, integrated watershed management has been

neglected; deforestation and wetland destruction has occurred, all of

which impact the natural environment within Bangkok (UNESCAP, 2014;

World Bank, 2012b). The shift from a primarily agricultural nation to a

more industrial one has led to two competing water management

challenges, namely water storage during the dry season and flood

minimisation during the wet season (Haraguchi and Upmanu, 2014) in

urban centres.

Water storage was particularly important to politics when in 2011

President Yingluck's Pheu Thai Party won the national election with a rice-

buying subsidy scheme that eventually accumulated US$4.46 billion (GBP

2.9 billion) in losses and President Yingluck’s own impeachment in 2015

(Aljazzera, 2015; BBC, 2015a). The rice scheme saw the government

purchasing rice from farmers at higher than global market prices, resulting

in stockpiles of rice and damage to Thailand’s rice exports (BBC, 2015b).

The rice scheme was significant because the Shinawatra family (Thanksin

then his sibling Yingluck) has been in power since 2001, and are ‘hugely

popular among Thailand's rural poor, but are hated by an urban and


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middle-class elite who accuse them of corruption and abuse of power’

(BBC, 2015a, np).

Climate change, rising sea levels, coastal and soil erosion, as well as

shifting clay soil are all modern ecological threats that suggest Bangkok’s

exposure to flood risk will continue to grow (Philip, 2011). Since the

establishment of Bangkok, the city has faced exposure to high tides, storm

surges, heavy rainfall and riverine flooding (UNESCAP, 2014). Bangkok’s

largest river, the Chao Phraya, decreases in depth as it moves

downstream, which makes the land around it more prone to flooding

(Haraguchi and Upmanu, 2014).

Urban growth and infrastructure has replaced former natural waterways

and wetlands, and developers and planners alike have failed to prepare for

persistent and reoccurring flooding (Philip, 2011). Moreover, Bangkok is a

natural drainage basin for water running from the northern mountains

towards the sea. Severe floods have been recorded in Bangkok since 1785

(Aon Benfield, 2012).

Table 5.6 below provides a list of historical floods compiled by the

Bangkok Metropolitan Authority (BMA), which shows that flooding occurs

frequently at a once-in-30-years and a once-in-10-years scale. The losses

recorded are from within Bangkok alone and have not been adjusted for

inflation or economic growth.


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Year Flood description Economic Cost (THB)

Economic Cost (USD)

1785 4.25 meter flood height N/A N/A

1819 3.20 meter flood height N/A N/A

1831 Floodwaters reached the top of protective walls

N/A N/A

1917 All roads underwater for at least one month

N/A N/A

1942 1.50 meter flood height for two months N/A N/A

1975 Floods caused by tropical depression 1.1 billion 36.2 million

1980 Four days of excessive rainfall; widespread flooding

700 million 23.1 million

1982 Heavy rainfall prompts flooding 1.1 billion 36.2 million

1983 3-5 months of flooding due to multiple cyclones

6.6 billion 217.5 million

1995 Chao Praya measured 2.27 meters above sea level


1996 Water levels reach 2.14 meters; dike overflowed


Table 5.1.2: An adaptation by the author from the Bangkok Metropolitan Authority cited in Aon Benfield, 2012 of the historical flood events in Thailand. Source: the author

Thailand is exposed to a number of natural hazards, which as well as flood

includes typhoons, tropical storms, landslides and tsunamis. Thailand’s

policy environment for disaster management stems from two key laws:

the National Economic and Social and Development Board (NESDB) Act

enacted in 1978 and the Disaster Prevention and Mitigation (DPM) Act

enacted in 2007 (ADPC, 2013a; ASEAN Inter-Parliamentary Assembly,

2012).

The first law provides advisory services to the prime minster and cabinet

on issues relating to social and economic development. The second law

focuses on disaster management planning and response in Thailand

through the establishment of the Department of Disaster Prevention and

Mitigation (DDPM) under the Ministry of Interior. The DDPM has 18

regional centres and 76 Disaster Preparedness and Mitigation Provincial

Officers, and works with policies created by the National Committee on


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Disaster Prevention and Mitigation, which serves as the policy making

body for disaster management, chaired by the Prime Minister and

comprised of members from ministries and government agencies (ASEAN

Inter-Parliamentary Assembly, 2012).

Gaps in the laws identified by the ASEAN inter-parliamentary Assembly in

a report titled Thailand: Country Report on Disaster Management (2012)

include a lack of specific operational procedures and holistic approaches

to disaster management at all levels; a shortage of budget and basic

equipment; a lack of research; a lack of integration and cooperation

amongst agencies.

5.1.3 Social connectedness

After years of living alongside the Bang Bua Canal, a relationship of

dependence by its dwellers on the natural environment grew. Although

most of the neighbourhood key informants complained about the high

levels of environmental pollution that exist today, a significant number of

fish farms can be found in the canal and poorer respondents still

supplement their diet with Morning Glory, a plant that grows within the

canal.

When eviction threatened to break existing social connections a large

number of people fought to stay in the canal, citing a sense of rootedness

and belonging. As one middle-aged woman said: ‘People don’t want to

leave the canal because for many of us our parents grew up here, and so

did we. Years of memories were made here, and we don’t want to leave

those behind. We work here, take our kids to school here, and go to the

temple here. We don’t like apartment style living. We don’t want to go’

(BB2, 2014).

Memories also influenced the way people from the Bang Bua Canal

perceive flood risk. Most people from the canal remember one flood in


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the early 1980s that lasted for a few days. Since flooding has occurred only

once in living memory, most people in the canal did not perceive flooding

as a high risk before the 2011 flood.

The significant historical changes to land and water in the topography

section demonstrate that Bangkok was built on an agricultural economy.

Moreover, systems of governance created for managing water add an

additional dimension of flood risk through the potential for human error.

The analysis also showed that after decades of living next to the Bang Bua

Canal, local people became dependent on the natural environment of the

canal.

5.2 Movement networks and public open spaces

This section explores first the historical transformations of mobility

networks and second, the evolution of public open spaces in the Bang Bua

Canal. When examining the historical transformation of movement

networks it is useful to start with the fall of the previous capital of

Thailand – Ayutthaya. Ayutthaya, the previous capital city of the Siamese

Kingdom that existed from the mid 14th to the mid 18th century, was

attacked by the Burmese in the mid 1760s (Roachanakanan, 1999). After

the fall of Ayutthaya, Bangkok became the new capital in 1767, prompting

the need for greater municipal security and economic trade freedom.

Investments in mobility infrastructure were henceforth made with the first

railway introduced in 1893, a tram service in 1894 and motor vehicles in

1902 (Roachanakanan, 1999).

In 1895, a railway was built parallel with the Bang Bua Canal, and only two

kilometers away from it (Roachanakanan, 1999). The line was used to

transport goods and passengers from Bangkok to its northern cities,

particularly Ayutthaya, the previous capital of Thailand. In 1914, the

Ministry of Defense established the Don Mueang Airport, and its first air


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defense (Roachanakanan, 1999), a mere six kilometers away from the

Bang Bua Canal. In 1928 the airport served as both military and civilian

infrastructure (Roachanakanan, 1999), and in 1952 the Don Mueang

Airport became an international flight hub (Roachanakanan, 1999).

Phaholyothin Road, the largest roadway built during the 1930s, was built

in parallel with the railway and only two kilometres away from it

(Roachanakanan, 1999).

The map in Figure 5.2a below provides a historical perspective of mobility

networks in Bangkok in 1968. The railway line, Phaholyothin Road and

Chaeng Watthana Road are annotated as ‘hard surface roads with two

lanes or more’. Small roadways with ‘loose ground’ are also indicated next

to the railway line. There are two military bases, a university, a temple and

an international airport nearby. As the legend indicates, much of the

surrounding land was a rice field.


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Figure 5.2a: A historical perspective of mobility networks in Bangkok. Rice fields are abundant amongst road and railway infrastructure. Source: (Royal Thai Survey Department, 1968)


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Today, Bangkok can be divided into a street hierarchy of thanons (main

streets), sois (side streets with vehicular access) and troks (pedestrian

lanes) (Wungpatcharapon, 2012). Below is a photograph of Phaholyothin

road, an eight-lane highway that crosses the Bang Bua Canal, shown in

Figure 5.2b. Phaholyothin Road is the starting point for Roi Krong

neighbourhood, barely two kilometres away from the airport.

Figure 5.2b: A view of Phaholyothin Road, an eight-lane highway that crosses the Bang Bua Canal. Source: the author

The focus of the mobility networks analysis is on pedestrian lanes, the only

form of road within the Bang Bua Canal. The small pedestrian lanes in

Bang Bua Neighbourhood are large enough to accommodate motorcycles.

They are used for economic and social activities, and as is common with

other such pedestrianised lanes in Bangkok, it is precisely here where

‘hierarchy, ownership and access become ambiguous and the boundary

between public and private becomes blurred’ (Wungpatcharapon, 2012,

p.24). The use of pedestrian lanes and street networks changes based

upon time of day or night. The various appropriations and occupations of

space create tensions between authorities whose job it is to enforce

spatial law and residents whose economic and social life depends on such


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fluidity (Wungpatcharapon, 2012). Below, Figure 5.2c shows a selection of

photographs that illustrate the pedestrian lanes that run through the Bang

Bua Canal. All of the lanes are narrow but are able to accommodate small

motorcycles. Some of the lanes have humps to prevent motorcycles from

moving too quickly.

Pedestrian lane in Bang Bua (case 1)

Saphan Mai back alley way (case 2)

Pedestrian lane in Roi Krong (case 3)

Pedestrian lane under Phaholyothin Rd. bridge (case 3)

General photo of roads in Bang Bua Canal

General photo of roads in Bang Bua Canal

Figure 5.2c: Types of roads within each neighbourhood. Source: the author


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Public open spaces

From a historical perspective, spaces in cities have served as social

meeting spaces to share information; market places to exchange goods

and services; and connection spaces through city streets (Gehl, 2007).

Carmona et al. write that public open spaces should link to movement

networks, and are particularly important in dense environments because

they offer recreational activities, host special events and are a place for a

‘city to breathe’ (Carmona, Heath and Tiesdell, 2003, p.188). In the Bang

Bua Canal, public open spaces are used to share information and as

market places. Two types of public open spaces common to the Bang Bua,

and are discussed in this section – outdoor spaces connected to

community centres and public open canal space.

The community centres have public open spaces connected to them for

people to freely enjoy. In Bang Bua Neighbourhood there is some exercise

equipment and a small statue for worship outside the community centre.

However, most open space over the canal is primarily used for building

houses, which is further discussed in the building layer section (5.4).

Photographs of the open spaces connected to community centres and the

canal are pictured below in Figure 5.2d.

Open public space at the Bang Bua Community Centre (case 1)

Open space under the orange tent roof in Saphan Mai (case 2)


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Figure 5.2d: Photographs of the public open spaces that exist within each of the three case studies. Source: the author

Open space at a second community centre enclosed by a fence in Saphan Mai (case 2)

Development of new open space in the process in Saphan Mai (case 2)

Open space at the Roi Krong community centre (case 3)

Open space at the Roi Krong under a highway bridge (case 3)

Open canal space now occupied by housing (general photo of Bang Bua Canal)


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5.2.1 A new international airport and economic opportunity

The Don Muang airport’s global presence acted as an economic driver,

rapidly populating the surrounding area with migrant workers,

transforming paddy fields into highways and selling land for residential

and commercial use. The areas around the Bang Bua Canal flourished with

migrant workers looking for job opportunities that did not require

specialist skill sets required to work in nearby factories, shopping centres,

hotels, universities and the military. Today, many of those living along the

canal are daily wage earners, such as vendors, labourers, shop assistants

(Wungpatcharapon and Tovivich, 2012b), and to a lesser extent,

government, military and office workers.

Many of the pedestrian lanes throughout the Bang Bua Canal used to be

small, winding roads where economic transactions occurred (KI30,

architect). Today the roads have been widened in two out of three of the

case studies – in Bang Bua Neighbourhood and Saphan Mai

Neighbourhood. The lane has become the backbone of the

neighbourhoods with smaller alleyways connecting to it. Vendors are able

to sell a range of food and non-food items on the main lane. Some

residents use the area to store goods such as recyclable bottles and cans.

Others store vending carts outside their homes and sometimes open for

business, depending on the time of day. Vendors benefit from the

temporary arrangement because they do not have to pay rent or tax

(Wungpatcharapon, 2012). A selection of photos in Figure 5.2.1a, Figure

5.2.1b and Figure 5.2.1c below demonstrates the different economic uses

of public open space.


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Figure 5.2.1a: A vendor parks her tea and coffee cart on the pedestrian lane outside her home, and opens for business when customers arrive. Source: the author

Figure 5.2.1b: Bottles and other recyclable goods are stored on the pedestrian lane. Source: the author

Figure 5.2.1c: A vendor pushes a food cart through Bang Bua Neighbourhood (case study one). Source: the author


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Public open spaces

Open public spaces have also been used for economic gain in the canal.

For example, fish farms have been set up in various locations in the canal

pictured below in Figure 5.2.1d. Others go fishing in the canal to

supplement their daily diet as shown in Figure 5.2.1e. In Saphan Mai, open

public space has been taken over by a restaurant that caters to residents

as show in Figure 5.2.1f and Figure 5.2.1g. The NGO World Vision Thailand

(KI17, an aid worker) donated the tent covering the public open space.

While some neighbours contest the use of this space for personal gain

(SM11, SM12, SM14), the community leadership appears to accept it.

Figure 5.2.1d: Fish farms are located against the canal wall on the right side of the photo. Source: the author

Figure 5.2.1e: Residents fishing along the canal to supplement their diets. Source: the author

Figure 5.2.1f: The public open space under the orange roof tent has been appropriated by a restaurant owner. Source: the author

Figure 5.2.1g: The open public space under the orange roof hosts a food stall. Source: the author


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5.2.2 Political battles transform mobility networks and public open

spaces

After the fall of Ayutthaya and the establishment of Bangkok as the new

capital of Thailand in 1767, a greater need for municipal security

flourished. By the 1930s Bangkok was a military town surrounded by

paddy fields (Roachanakanan, 1999). In 1933 a coup was staged and

troops took over the airport. After that a second military camp was set up

a few kilometers from the airport. Railway lines combined with large

roadways provided the air force with the ability to completely control

access to Bangkok from the north of Thailand (Roachanakanan, 1999).

Public open spaces

As noted above, much of the open space around the canal has been taken

over by housing due to a lack of enforcement of planning laws. Today, the

Bangkok Metropolitan Authority (BMA) considers the space along the

Bang Bua Canal ‘open space’ but recognises that due to complex power

dynamics, they are not able to enforce the regulations. Figure 5.2.2a

below is a map of open spaces in Bangkok, as determined by the BMA. The

map outlines five types of open space categories of which the Bang Bua

Canal fits into the category of ‘open space for environment conservation

along the roadside, riverfront and canal’.

When asked about the contradiction between the map and reality, one

key informant from the BMA (KI4, 2014) said, ‘We know slum dwellers live

along the canals. We don't want them to stay. We try to remove them, but

it's quite difficult. Elections play a big role in deciding the fate of the slums

in terms of who stays and who goes.’


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Figure 5.2.2a: A map of the official open spaces in Bangkok. The Bang Bua Canal is indicated on the map as open space, demonstrating the contraction between government master plans and reality. Neighbourhood 1 is Bang Bua. Neighbourhood 2 is Saphan Mai. Neighbourhood 3 is Roi Krong. Source: (Department of City Planning, 2013b).


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Despite the Bang Bua Canal being categorised formally as open space,

district governments offer services such as waste collection and canal

maintenance to the neighbourhoods, regardless of their formal tenancy

status. Figure 5.2.2b below shows a waste collection system in Bang Bua

where district government boats collect waste on a weekly basis. Figure

5.2.2c shows government boats doing regular maintenance on the canals

by clearing weeds.

Figure 5.2.2b: Waste removal services available in Bang Bua neighbourhood (case one). Source: the author

Figure 5.2.2c: Canal maintenance services provided by the government. Source: the author

5.2.3 Social grounds for information sharing

The pedestrian roads in the canal are places where social activities take

place. For example, sometimes open spaces have been occupied for

private use as outdoor sitting areas with a placement of a bench or even a

couch, as picture in Figure 5.2.3 below. Residents also use the small lanes

for parking their motorcycles on a temporary basis when they visit on

another, which can also be seen in Figure 5.2.3. Over the years,

improvements in the roads in the canal have led to a reported increase in

safety and security as well as a reduction in conflict.

Key informants from Bang Bua Neighbourhood also reported a significant

decrease in the amount of drugs being traded in the area (BB3, a middle-

aged woman; BB11 an elderly woman). While other factors may have


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influenced the perceived decrease, lighting and a more open public view

of the roads were thought to play a role. The photo in Figure 5.2.3 below

also shows lighting, humps to slow motorcycles down and loud speakers

to make public announcements.

Figure 5.2.3: Pedestrian roads in Bang Bua Neighbourhood are places for socialising and for temporarily parking motorcycles. Lighting, humps and loud speakers contribute to overall safety. Source: the author


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Public open spaces

Socialising and information sharing also occurs in open public spaces in

the canal. For example, in the open spaces around the community centres

people gather formally and informally. Sometimes while a meeting is

taking place in a community centre, there are others meeting in the open

space for private conversations. The playground area where adults go to

watch their children play is also an important area and time of day for

information sharing.

5.3 Plots

This section seeks to explain how a decade of incremental settlement

upgrading transformed neighbourhoods and individual plots through a

national Baan Mankong’s national ‘secure housing’ scheme.

People who live next to the Bang Bua Canal have been squatting on land

owned by the National Treasury Department (Wungpatcharapon and

Tovivich, 2012b). Long-term canal residents (BBFGD1, BBFGD2, BB1, an

elderly man, BB2, an elderly woman) spoke about a time in the early 1960s

when people began illegally buying, selling or squatting on plots of land

around the canal. The landowner, the Thai Government’s National

Treasury Department, was unable to retain control over the sprawl of

houses that sprung up.

According to canal residents, rumours of eviction started in the late 1990s,

but the most serious threat came in 1999 when the government

announced plans to build a new road through the area. In a focus group

discussion between neighbourhood leaders within the Bang Bua Canal and

the National Department for the Environment (BBFGD1), canal leaders

explained that houses built on the canal bank were blamed for flooding in

areas nearby. Neighbourhood leaders explained that embankments in

some areas were collapsing, causing the canal to become shallower, and


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with permanent homes on the canal bank it was impossible to dredge and

clear the canal (BBFGD1). Leaders also cited increasing levels of water

pollution due to the practice of dumping untreated sewage and household

wastewater directly into the canal as another reason given for eviction

(BBFGD1).

Essentially, the canal was viewed as a ‘slum’ with a widespread drug

trafficking problem (KI15 district government; BB2, a middle-aged woman;

KI30 professor). Gambling, an illegal activity in Thailand, was also a main

feature of life (BB2 a middle-aged woman; BB20, a middle-aged woman;

BB1, an elderly man). One middle-aged man reflected that, ‘this canal was

a ghetto that nobody wanted to come to, but now the houses look better

so people aren’t afraid to come here’ (BBFGD1, 2014).

Having explained the historical transformation of the plots, the following

section will illustrate more recent activities that have transformed the

plots layer starting with the introduction of a neighbourhood savings

structure.

5.3.1 Neighbourhood savings structures and plot transformation

Ultimately, the neighbourhoods in the Bang Bua Canal avoided eviction by

joining Baan Mankong, the national government’s long-term solution to

complex land and housing for poorer urban people (Wungpatcharapon

and Tovivich, 2012b; Boonyabancha, 2005). The Baan Mankong

programme successfully advocated to the Bangkok Metropolitan Authority

that settlement upgrading instead of eviction was in the best interest of

canal residents and the city itself as long as the following three conditions

were agreed to: land rental was paid; houses move off the canal bank and

onto proper land; and environmental pollution was reduced. The

programme helps neighbourhoods upgrade through the provision of low

interest infrastructure subsidies as well as housing and land loans to

neighbourhood cooperatives.


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The national government’s implementing partner, the Community

Organisations Development Institute (CODI) is responsible for facilitating

the upgrading process by setting up mechanisms that build trust and form

a system of accountability (Boonyabancha, 2005). CODI is a public

organisation under the Ministry of Social Development and Human

Security. A neighbourhood savings group is one such mechanism. Each

neighbourhood savings group is registered as a legal cooperative that is

then granted low-interest rate loans from Baan Mankong.

Neighbourhood savings group members are charged a five per cent

interest rate on the loans they take out. Two per cent is paid back to Baan

Mankong; one per cent is used for savings in case people default on their

loans; one per cent is used to pay the savings club secretary and one

percent is used towards social welfare assistance such as funeral costs,

school fees and community events. The savings groups build trust within

neighbourhoods and the financial capital needed to secure loans. In Bang

Bua, monthly land rental rates range from 40-60 Baht (GBP 0.74-1.11) per

individual plot of land, depending on the size of the plot (RK27 an elderly

woman; SM9, an elderly man; BB4, a middle-aged man; BB1, an elderly

man). Home reconstruction loans are granted to the cooperatives for a

maxim of up to 15,000 Baht (GBP 288), with a ten per cent down payment

provided to the savings club.

Failure to repay the loan over a protracted period has resulted in the

neighbourhood cooperative taking defaulting individuals to court. As a

way of managing the overall upgrading of the plots, each participating

neighbourhood cooperative elected a leader and a committee to guide its

activities.


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5.3.2 Neighbourhood governance structures

Neighbourhood governance structures follow a democratic election

model. In each neighbourhood a leader and a committee are elected to

guide the upgrading process, accountable to the members of the savings

group. In some neighbourhoods, the leader and committee are the same

as the government-elected leader and committee (accountable to the

district authority), and sometimes they are different. CODI community

development workers also shape the process by assisting neighbourhoods

to develop partnerships with the local government, built environment

professionals, universities, aid agencies and other Baan Mankong

networks within the 277 cities where the programme is operating

(Wungpatcharapon and Tovivich, 2012b). Usavagovitwong et al. (2013)

write that in Thailand low-income settlements are organised into

‘communities’, and that when recognised by their local district office, the

communities are required to hold elections, according to 1991 regulations.

Participants in Baan Mankong decide the criteria for participation. Below a

CODI employee explains how the criterion for participation was

established: ‘We [CODI] had a meeting with the communities to set a

definition of low income in Thailand so together we could determine the

kind of communities that could join. Part of that definition includes a lack

of security in house or land in dense communities. Household income is

not more than 30 Baht per day. Neither CODI nor the government set this

definition. In my opinion, a whole community is never entirely under this

standard because they are mixed. But we accept a community when the

majority faces these problems’ (KI7, 2014).

The programme moved ahead incrementally in each neighbourhood in the

Bang Bua Canal, working with the support base it had because not

everyone wanted to join it at the start. After witnessing the progress,

oftentimes more people joined in, adding another phase to the planning

and construction work (KI30 professor; KI31 academic, BB4, a middle-aged


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man). In a meeting with the central government, one leader said

enthusiasm and momentum occurred because, ‘respected people in the

community started to mobilize people from all over the canal like a spider

web’ (BBFGD1, 2014).

Legal status of the land

With the support of CODI and the upgrading process described above,

Bang Bua was the first canal in Bangkok to successfully negotiate a lease

on the land with the National Treasury Department (Wungpatcharapon

and Tovivich, 2012b). An memorandum of understanding (MOU) between

the government and the canal network was signed formalising an

agreement that each of the 12 neighbourhoods would form a cooperative

and rent the land from the National Treasury Department on a 30-year

renewable lease for a period of up to 90 years (BB4, a middle-aged man;

BB2, a middle-aged woman; SM9, an elderly man; RK27 an elderly

woman).

The negotiation resulted in a land rental agreement of one Baht per

square meter, per month with adjustment for inflation every five years

(Wungpatcharapon and Tovivich, 2012b). Two out of three of the case

studies in this research, Bang Bua Neighbourhood and Saphan Mai, are

renting the land. The third neighbourhood, Roi Krong, does not have

enough people in its savings group to be able to pay the land rental cost.

The primary reason Roi Krong is not renting the land is due to conflict over

land sharing. People who ‘own’ larger properties or houses do not want to

lose any portion of their assets because it results in direct loss of income.

Further discussion of this point will take place in the case study on Roi

Krong Neighbourhood in Chapter Nine.


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5.3.3. Social dynamics and aspirations

While all 12 neighbourhoods were given the same upgrading

opportunities, some demonstrated the ability to work together in the

interest of community welfare more than others. Diverse needs,

backgrounds, opinions, skills, income levels and opportunity has proven to

be a strength and a challenge for canal dwellers as summarised in the

following statement by a senior director of a local NGO that works in the

area: ‘The challenge is you have a mixed group of people. People who live

on the land part of the neighbourhood have been there for a long time,

maybe even 50 years ago now. The people who encroach on the canal and

live on the canal are very poor. So you have a mix of not so poor and the

very poor. You have rental rooms because Bang Bua is a central location.

You have a lot of subdivided rooms. The room renters come and go so

they don’t have a lot of attachment to the community. They just want

their room and to leave again in the morning’ (KI13, 2014).

Many social activities have taken place to build trust, relationships and

understanding amongst neighbours. As mentioned earlier, drug trafficking

used to be widespread within the canal, but there has been a social

impetus to eliminate the trade. Local initiatives such as the placement of

lights in dark public areas, the hosting of drug prevention activities for

children, and the formation of volunteer police teams (RK27, an elderly

woman) have had varying degrees of success in trust building, depending

who was asked. However, most participants agree that the canal is safer

today than it was ten years ago. A march against drugs is organised on a

yearly basis between the nearby military base and the Bang Bua Canal

network. Different communities are represented by small signs with their

names on them. Many of the groups have chosen to wear a specific colour

to represent their neighbourhood. Food and drinks are provided by the

military; children from the communities offer entertainment by playing

football matches; and the local government provides health care workers

to do tests on blood pressure and other basic health check ups. As seen in


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Figures 5.3.3a and 5.3.3b below, the military, government staff and

neighbourhoods from around the canal march together through one

another’s neighbourhood as a sign of solidarity against drugs.

Figure 5.3.3a: Government and military personnel giving anti-drug speeches to the canal residents. Source: the author

Figure 5.3.3b: Military, government staff and canal residents from different neighbourhoods (adults and children) march in solidarity against drugs through different neighbourhoods. Source: the author

Aspirations

Leaders from the Bang Bua Network hold high economic and social

aspirations for the future. Firstly, the Bang Bua Network wanted to

develop a floating market for tourists, and believe they can do so with

technical support from a nearby university (BBFGD1). However, before

such a large undertaking can begin, one middle-aged woman in the

network said they first needed to, ‘improve all the houses and the quality

of the water to make this a prettier place’ (BBFGD1). Secondly, there was a

desire to develop a safe and pollution free environment. One leader in the

network said he desired an environment that was free from drugs and

pollution (BBFGD1).

Thirdly, the need for further social bonding was mentioned by another

leader who said it was important to have ‘people connecting to each other

and participating in the community’ (BBFGD1). A continuation of the

savings group was mentioned as important example of this. Many of the


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network leaders explained that belonging to the savings group required

‘discipline’ from its members. Fourthly, it was expressed that the lack of

youth leadership was a current gap. One leader said, ‘the next generation

needs to take on these responsibilities because there are no kids are

helping out right now’ (BBFGD1). One of the many reasons listed for

bringing youth into the leadership fold is the potential for using

technology to mobilise people. As one neighbourhood leader observed,

‘we don’t use computers, but our kids do’ (BBFGD1).

5.4 Buildings and services

This section seeks to explain the ways in which economic, governance and

social CAS have shaped buildings and services.

5.4.1 Building typologies

Over 90 per cent of the individual buildings along the canal are residential.

This section will first discuss the residential buildings and the community

centres, followed by public facilities.

Residential buildings

The majority of the upgraded residential homes are a mix of single unit

housing and semi-detached housing made of concrete or wood or a

mixture of both. Many are two to three stories. Between 5-10 per cent of

the buildings are apartments constructed of concrete. Through direct

observation, a building pattern has been identified throughout the canal

whereby wooden buildings on stilts are erected over the canal, while

homes on the landside are often made with a concrete foundation.

Exceptions to this pattern can be found with a few homes on the landside

having dirt floors. Wooden homes are vulnerable to fire because of the

wood used to construct them, while single storey units on the canal are

more vulnerable to flooding because of their location over the canal.

Figure 5.4.1a below illustrates the range of residential building typologies


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that can be found in the canal ranging from apartments to double storey

terraced houses, single and double storey wooden houses on stilts,

dormitories and single storey cement homes.

Apartments Double storey terraced house

Single storey wooden stilt homes Double storey wooden stilt homes

Dormitories Single storey cement homes

Figure 5.4.1a: A mix of single unit housing and semi-detached housing made of concrete or wood or a mixture of both. A number of building typologies that can be found in the canal range from apartments to double storey terraced houses, single and double storey wooden houses on stilts, dormitories and single storey cement homes. Source: the author


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Community centres

All three neighbourhoods have a community centre built with funding

from the district government, aid agencies or private donations. Roi Krong

neighbourhood also has a health centre. The community centres and

health clinics were developed in the late 1990s to the early 2000s (RK27,

and elderly woman, SM9 an elderly man). There are two types of

community centres. The first is built of cement. The second is an outdoor

gazebo structure, often seen in hotter climates. The community centres

are pictured below in Figure 5.4.1b.

Bang Bua community centre (case 1) Saphan Mai Community Centre

(case 2)

Roi Krong Community Centre A (case 3) Roi Krong Community Centre B

(case 3)

Figure 5.4.1b: There are two types of community centres. The first is built of cement as shown in the top left and right photo and bottom left photo. The second is an outdoor gazebo structure, often seen in hotter climates as shown in the bottom right photo. Source: the author


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Public facilities

Public facilities such as health clinics are dispersed throughout the canal,

and are mostly made of concrete. Roi Krong has a health clinic. Saphan

Mai’s office doubles up as a health clinic. Bang Bua Neighbourhood does

not have one but can access one several hundred meters away. Pictures of

the health clinic are featured below in Figure 5.4.1c.

Figure 5.4.1c: A health centre a few hundred metres from Bang Bua Neighbourhood. The clinic is a single storey building made of cement. Source: the author

Bang Bua Neighbourhood has a library for children. It is a pilot project

funded by the Bang Khen district government. The salary for one staff

member is provided. Children from Bang Bua Neighbourhood and only one

of its next door neighbourhoods have access to a new, but modest range

of books and as well as a TV. Figure 5.4.1d shows the library’s exterior and

interior.


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Bang Bua library – exterior view (case 1)

Bang Bua library – interior view (case 1)

Figure 5.4.1d: A library shared between two neighbourhoods. The building is constructed of cement. The exterior of the building is shown on the left and the interior on the right. Source: the author

5.4.2 Renters

While the upgrading scheme provided a unique opportunity for people to

become homeowners, it seems to have marginalised renters. When the

upgrading first occurred, neighbourhoods agreed that people who had not

been renting in the area for more than five years would not be offered the

opportunity to build a home. Furthermore, those who joined Baan

Mankong were not allowed to rent their homes or parts of their homes.

While Bang Bua Neighbourhood and Saphan Mai residents agreed to this

criteria, a majority of residents in Roi Krong (approximately 60 per cent)

did not agree to abolish renting, and thus refused to take part in the

upgrading (RK13, an elderly woman; RK14, an elderly woman; RK17, a

middle-aged woman; RK29, an elderly man).

5.4.3 Planning regulations and access to services

Policies towards the urban poor have changed throughout the years. From

the 1940s to the 1990s there was a general reluctance to using community

driven approaches to improving low-income settlements and housing

(Usavagovitwong et al., 2013). In 1960 the Slum Clearance Act was passed

by the Thai government; after then the First City Plan for Bangkok


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determined that ‘740,000 (46 per cent) of the 1.6 million people in the city

lived in areas described as deteriorated housing (laeng suam som) that

needed to be rebuilt’ (Johnson, 2009, p.30). In 1972 the National Housing

Association (NHA) formed and in 1975 the Bangkok Metropolitan

Authority’s Division of Social Welfare, Bureau of Social Benefits took over

responsibility for the provision of housing for poorer urban people

(Usavagovitwong et al., 2013). In 1980 ‘enabling strategies’ for low-cost

housing for poorer urban people began to appear through private sector

construction (Archer, 2009). However, the 1997 economic crisis led to

government policies of self-sufficiency and decentralisation, and by the

early 2000s community based organisations began to appear

(Boonyabancha, 2005; Archer, 2009). Usavagovitwong et al. (2013) write

that in 1980, 15 per cent of households in Bangkok could afford the

cheapest housing provided by the private sector. By 1994 the number had

increased to between 70 to 80 per cent (Usavagovitwong et al., 2013).

The density of low-income settlements is determined by Thai authorities

based on the number of housing units per area, rather than by population

density. For the BMA a low-income settlement equates to 15 houses per

rai (One rai is equivalent to 1,600 square meters) or 47,000 people per

square kilometer; for the NHA it is 30 houses per rai (or 94,000 people per

square kilometer calculated based on the assumption of five people per

dwelling). Both include a description of dilapidated buildings and harmful

health conditions in their criteria (Usavagovitwong et al., 2013).

In a study on housing density and preference in Bangkok’s low-income

settlements undertaken by the International Institute for Environment

and Development (IIED) (2013), it was noted that projects under the Baan

Mankong programme ‘failed to comply with the spatial requirements of

the Building Control Act of 1979 and of the Comprehensive Plan Act 1992’

due to ‘financial constraints of the urban poor and the high cost of land’

(Usavagovitwong et al., 2013, p.5). The Ministry of Interior accepted a


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proposal by the NHA and CODI to relax the laws, resulting in a reduction of

the minimum distance between houses, waiving of regulations for on-site

sanitation systems and the overriding of the Comprehensive Plans’ land-

use controls (Bangkok’s masterplan) (Usavagovitwong et al., 2013).

Access to services in the Bang Bua Canal

Usavagovitwong et al. (2013) write that access to services such as utilities,

public schools and voting rights are only provided to houses legally

registered with a local government district. However, that has not always

been the case. Some neighbourhoods, such as Saphan Mai, have had

electricity since 1974, regardless of their informal status at that time.

According to one leader in the canal (KI34, an elderly man), politicians

traded the offer of services in return for votes. According to

neighbourhood leaders, when the Baan Mankong upgrading began,

district governments shifted their policy and provided water for domestic

use and electricity to registered houses only (KI34, an elderly man; KI36,

an elderly woman). Drinking water continues to be purchased from stores

or a distribution machine, which is located at the centre of many

neighbourhoods. Wealthier houses own their own washing machines,

refrigerators and air conditioners. The district government in all three case

studies collects rubbish once a week. Housing participants in the

upgrading received an 800-1,000 liter sewerage treatment tank. Those

who did partial home reconstruction or did not participate at all continue

to dump sewerage directly into the canal (RK27, an elderly woman; BB2, a

middle-aged woman). Today, all registered houses along the canal have

access to services such as electricity and water.

5.4.4 Social dynamics expressed through building usage

In 1981 the government changed its use of the word ‘slum’ to ‘densified

communities’ (chumchon ae at in Thai) to neutralise negative connotations

and to emphasise ‘the physical conditions of the housing and its

consequences for human life’ (Johnson, 2009, p.31). The most recent


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statistics for the total number of people living in low-income settlements

or densified communities in Bangkok come from the NHA’s 2001 statistics,

which counted 1,604 ‘poor and informal communities’ comprising 283,566

households (Usavagovitwong et al., 2013; Archer, 2009). One middle-aged

woman from Bang Bua neighbourhood also described the neighbourhood

as a ‘slum’ before a decade of home and neighbourhood upgrading

occurred. She said: ‘a slum is something you just know. You can tell by the

way people look, how they speak, the quality of their houses and the fact

that they fight with each other a lot. Before the upgrading, people called

Bang Bua a slum. They didn’t socialise with us and looked down on us. So

we improved our houses, our education and the whole way we lived so

people wouldn’t look down on us’ (BB2, 2014).

Where possible, the houses in the canal are designed with outdoor space

to socialise in. More about the nature of social space and patterns and

trends regarding the houses is discussed in subsequent chapters

comparing neighbourhood case studies. The ways in which the community

buildings are used and who uses them also explains a great deal about the

social dynamics in each neighbourhood, which is also shared in

subsequent case study chapters.

Conclusion

In conclusion, this chapter aimed to conduct an analysis of the historical

transformation of everyday risks in the Bang Bua Canal through

investigation of the ways in which economic, governance and social CAS

influence four different morphological layers.

Analysis of the topography layer suggested that natural, political and social

pre-conditions were set for a flood to have a great impact. As stated

earlier, Bangkok is located in an area with a pre-disposition to seasonal

flooding, which was an advantage to the area when it was predominately


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an agricultural based society, but is a risk now that the area has urbanised.

Institutional shortcomings in water and disaster management seem to

have set up a political backdrop of a lack of preparedness, coordination,

integration, research and budget for adequately managing water and

disaster risk within the government. Moreover, most people in the Bang

Bua Canal did not have a living memory of a flood before 2011, and

therefore did not perceive flooding as a genuine risk.

The movement networks and public open spaces layer reveals that

migrant workers without specialised skillsets settled in the Bang Bua Canal

in search of jobs directly or indirectly linked to the arrival of Bangkok’s first

airport, and settled as renters or home owners in the area. This layer also

concludes that historically, political battles transformed mobility networks

around Bangkok through the need to protect the city from security threats

and the desire to control trade. Finally, the layer explains how public open

spaces host a range of diverse and changing economic activities within the

neighbourhoods, depending on the time of day or night. It also explains

that public open spaces and pedestrian lanes are used as spaces for

information sharing, communication and social connectedness.

Analysis of the plots layer suggests that many plots dramatically

transformed through Baan Mankong’s upgrading programme, which

attempted to introduce positive change in economic, governance and

social structures that influence neighbourhoods. Through Baan Mankong,

neighbourhoods in the Bang Bua Canal were given the opportunity to rent

land owned by the National Treasury Department for a period of up to 90

years with individual plots paying GBP 0.74-1.11 per month. The savings

groups within each neighbourhood played a crucial role in building trust

between members in order to save and qualify for a cooperative loan from

CODI. Baan Mankong also introduced new governance structures with a

leader and a leadership committee to manage the upgrading in each

neighbourhood. Furthermore, it assisted neighbourhoods to establish links


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with external stakeholders such as universities, district governments and

other groups in the Baan Mankong upgrading network. Finally, analysis of

the plots layer revealed that individuals and neighbourhoods aspired to

further transform their plots and communities by hosting a floating

market, reducing pollution and stopping drug-trafficking as well as

creating further bonding exercises to include youth in the hopes that

younger generations will continue with upgrading activities in the future.

Lastly, analysis of the building and services layer suggests that based upon

the range of building typologies in the canal there is a great diversity in

socio-economic status within the canal, which creates different view

points on upgrading. In Roi Krong Neighbourhood where the number of

renters is high there are more people against the upgrading programme

than for it. In Bang Bua and Saphan Mai Neighbourhoods, where renters

are lower in number, canal dwellers felt more comfortable with the home

ownership programme. Moreover, this layer identified that the municipal

government adapted its planning regulations to accommodate the unique

context of the canal by permitting houses to be built more closely together

than is usual. It also found that access to services such as piped water and

electricity had occurred in the canal in some places up to as early as 30

years before the upgrading programme began; however, access was

reported to have improved with the upgrading programme.

Each of the morphological layers provides evidence that suggests

modernisation and rapid economic growth has led to the proliferation of

unplanned settlements and the growth of the informal economy in the

Bang Bua Canal, impacting the types of daily risks canal dwellers face due

to inadequate infrastructure, low-incomes, illegal tenure and low-quality

housing. Failure to address everyday risks further complicates disaster risk

with underlying unaddressed vulnerability. The next chapter will focus on

disaster risk and the impact of the 2011 flood on the Bang Bua Canal.

Chapter six: analysis of the 2011 Flood in Bangkok and the Bang Bua Canal

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Chapter six A systems and morphological analysis of the 2011 flood in Bangkok and the Bang Bua Canal Introduction

This chapter interrogates the 2011 flood, asking: what preparedness,

response and recovery actions were prioritised in Bangkok and the Bang

Bua Canal before, during and after the flood? The analysis explains how

systems of economic flows, governance networks and social dynamics

influence different morphological layers in order to identify drivers that

affect disaster resilience.

Firstly, the topography layer presents a history of the 2011 flood,

explaining the ways in which poorer people struggled to survive a lengthy

period of unemployment; how national flood disaster management

systems performed at a sub-standard level; and how after the flood there

was a great emphasis on the social re-framing of disaster and

development priorities. Secondly, the movement networks and public

open spaces layer explains the impact of the floods on transportation and


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mobility patterns, emphasising the importance of free and accessible

public transportation and the way in which the canal (and Bangkok more

broadly) was prepared to deal with impassible roads and flooded public

open spaces.

Thirdly, the plots layer provides an analysis of the ways in which land

rental agreements and other such financial mechanisms in the canal

diversified coping mechanisms for dealing with economic pressures

resulting from the flood. The plots layer also explains the importance of

the Bang Bua Canal Network as a way of self-organising help that is

targeted to specific needs. Fourthly, the last morphological layer – building

and services – explains how poorer people were disproportionately

affected because of the low-quality buildings they inhabit, and the ways in

which district authorities were limited in their capacity to help

neighbourhoods in the Bang Bua Canal.

The methodological approach for this chapter includes a review of

secondary documents such as assessments and evaluation reports of the

2011 flood from a range of agencies including the World Bank, the

Association of South East Asian Nations (ASEAN), Save the Children, Asian

Disaster Preparedness Centre (ADPC) and others, which are referred to

later in this chapter. Additionally, 40 key informant interviews were

conducted with neighbourhood leaders; international and national aid

agencies; officials from the district, municipal and national government;

academics and think tanks. Focus group discussions were also conducted,

including six FGDs with canal dwellers; one with five people from the

World Bank and one with four people from CODI, a local NGO. Multiple

maps from Bangkok’s master plan were analysed for physical data. Each

neighbourhood’s unique history and composition is interrogated in the

following chapters, Six, Seven and Eight.


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6.1 Topography

Analysis of the topography layer provides a summary of how the 2011

flood occurred and the extent of its impact. The layer then focuses on

Thailand’s national flood response explaining how the country was largely

underprepared, and the way in which it is adapting its national disaster

management systems and policies. The ways in which Thailand is re-

framing its disaster and development priorities as a result of the 2011

flood is then presented. The topography layer closes with an explanation

of the economic impact of the flood on poorer people in the canal and in

Bangkok more broadly.

6.1.1 Summary of the 2011 flood

The worst flooding Thailand had seen since 1996, started in late July 2011

(Aon Benfield, 2012). An uncommon number and strength of five

consecutive tropical storms deposited unusually large amounts of rainfall

from July to October 2011. Subsequent dam breaches and a high tide in

the Gulf of Thailand (Olarn, 2011; World Bank, 2012b) contributed to

widespread flooding that affected 65 out of 77 provinces (Aon Benfield,

2012).

By January 2012, more than 800 people had been killed (Phongnonsung

and Borchard, 2012; Aon Benfield, 2012), six million hectares of land

inundated with flood water and 13 million people affected (World Bank,

2012b). The World Bank (2012b) estimated the cost of rehabilitation and

reconstruction at THB 1.5 trillion (GBP 2.7 billion), with the manufacturing

industry accounting for 80 per cent of the total.

The damaged inflicted by the 2011 flood has been attributed to a

combination between nature, poor governance and weak land-use

planning (Pongsudhirak, 2011; Haraguchi and Upmanu, 2014; UNESCAP,

2014; Boonyabancha and Archer, 2011). Figure 6.1 below shows images of

national flooding from August until November 2011 underscoring the


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extreme nature of the flood, not only in Bangkok but nation-wide. The full

spatial peak of the floodwater has been marked on the map in gray by

UNITAR/UNOSAT overlaid with colour in order to provide a month-by-

month comparison of the coverage.

The first map indicates floodwater in yellow during mid-August 2011. The

second map depicts floodwater with the colour orange in mid-September,

showing the water travelling further south. The third map shows that

floodwater had reached Bangkok by mid-October (depicted in red) and

had become more widespread in an east to west direction.

The fourth map illustrates the floodwater mid-November in purple

showing floodwaters receding in the north and to some extent in the

south near Bangkok. When UNITAR/UNOSAT published the graphics, it

warned that floodwaters had likely been ‘systematically underestimated

along highly vegetated areas along main river banks, and within built-up

areas within Bangkok’ due to limitations of the satellite data used

(UNITAR/UNOSAT, 2011, np).


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Figure 6.1.1a: The four graphics above illustrate the flood water moving from northern Thailand down to the Gulf of Siam through Bangkok. The first map illustrates floodwater (marked in yellow) in mid-August. The second map shows floodwater (marked in orange) in mid-September. The third map indicates floodwater (marked in red) in mid October. The fourth image depicts floodwater (marked in purple) in mid-November. The full spatial peak of the floodwater is marked in gray in all of the maps as a source of comparison. Source: (UNITAR/UNOSAT, 2011).


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Having explained how the flood occurred and its extensive impact, this

chapter will now examine the ways in which the flood response was

handled at a national level and the way it impacted Bangkok and the Bang

Bua Canal.

6.1.2 National flood management

Thailand, and more specifically Bangkok, was largely unprepared for the

2011 flood, for several reasons related to governance. In July 2011, nearly

one month before the flood started, a change in national government

occurred bringing with it new staff to new posts. Government

coordination was cited as one of the biggest challenges in the 2011 flood

with preparedness and response frameworks believing to have achieved

little of what they were designed to do (Barber, 2012), despite having a

national Department of Disaster Prevention and Mitigation (DDPM)

(established in 2002) and as stated earlier, a Disaster Prevention and

Mitigation Act that was passed in 2007 (UNESCAP, 2014; ADPC, 2013b)

dedicated to shaping disaster management.

Pongsudhirak (2011), a journalist from the UK newspaper The Guardian,

pointed to government ministers for issuing different and conflicting

messages that resulted in inter-agency conflicts within the government

and a lack of policy coordination. Water analysts note that the 24 dams

operating in Bangkok’s Chao Phraya River should have released water

earlier than they did to compensate for the heavy monsoons (IRIN, 2012;

Koontanakulvong, 2012). A lack of coordination and inaction between

various central and local government agencies is believed to have resulted

in the overflow of several dams (Pongsudhirak, 2011).

Experts on low-income housing, Somsook Boonyabancha and Diane Archer

(2011), posted in a blog for the UK International Institute for Environment

and Development (IIED) that water management in Thailand is a ‘sensitive


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political matter’ and cited weak coordination between 16 organisations

from four ministries as a key factor for increasing the severe impact of the

flood (2011). Boonyabancha and Archer (2011) believe that effective

collaboration in Bangkok was especially hindered due to the tenuous

relationship between the governing Democratic opposition party and the

Pheu Thai central government, giving rise to what they described as

‘political games’.

One key informant from a local NGO interviewed for this research said the

impact of the flood was greater because of the political divide in the

following statement: ‘The central government gives money to a certain

ministry or agency, and in many cases they go directly to the affected

community to distribute goods. Thailand is like that. The local authority is

always being bypassed by the central government. Sometimes there is

collaboration and the central government department links with the local

authority. But when the politics are tight, the central government tends to

bypass to link with the community directly in order not to give credit to

the local authority because the local government is from one party and

the central government is another’ (KI3, 2014, a senior NGO leader).

Powerful politicians and other influential actors were accused of

protecting their constituencies at the cost of redirecting floodwater into

other areas. At times their actions resulted in protests that led to the

dismantling of flood protection barriers (Pongsudhirak, 2011; KI2, 2014, a

national government informant; KI4, 2014, a BMA informant; KI9, 2014,

journalist). Humanitarian news and analysis agency, Integrated Regional

Information Networks (IRIN), writes that complicated water management

structures allowed powerful governors to redirect flood waters to poorer

areas, and recommended a single command management authority take

over to avoid abuse of power (IRIN, 2012).


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The 2011 flood has been described as a re-enactment of the urban-rural

divide, (whereby the previous national government was popular with the

rural poor, but strongly disliked by the urban middle-class and elite) as

demonstrated by floodwaters submerging poorer provinces along the

Chao Phraya river basin in order to save the more affluent city of Bangkok

(Boonyabancha and Archer, 2011). Flood prevention in Bangkok was

prioritised by the national government, although some surmise that if

flood waters had been permitted to exit through Bangkok where water

historically and naturally exits, the flood would have dissipated more

quickly (Pongsudhirak, 2011; KI2, national government informant; KI6,

municipal informant). Pongsudhirak contends that a quick exit through

Bangkok would have also alleviated political woes between rural and

urban groups, writing that: ‘if Bangkok shares some of the flooding,

economic damage will mount but a sense of equality and justice will

prevail (Pongsudhirak, 2011, np).

A humanitarian response review by the NGO Save the Children and the

Agreement for Disaster Management and Emergency Response (AADMER)

Partnership Group (APG), a group within the Association of South East

Asian Nations (ASEAN), found that while the Thai government set up a

centralised Flood Relief Operations Center (FROC) to support affected

provinces and allocate financial assistance for relief and recovery

operations, it was headed by the Ministry of Justice and operated by staff

whose expertise did not match the task (Barber, 2012). The report also

states that at the national level, response capacity was low and

preparedness planning was under-utilised (Barber, 2012).

After the flood, steps were taken to address policy related disaster

management gaps. Four key national plans summarised below directly

address gaps such as water management, coordination and the

development of standard operating procedures (SOPs). The national plans


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focus on strengthening institutional capacity; addressing challenges

related to climate change and natural hazards; issues around water

resource management and coordination by instating a single command

structure; and integrating disaster prevention, mitigation, preparedness

and emergency management within relevant sectors of the national

government.

An assessment report on disaster management planning, policies and

responses in Thailand by the Asian Disaster Preparedness Centre (ADPC),

the NGO HelpAge International and APG suggests disaster management

policy is being taken more seriously at a national level with the

development of new national plans since, post 2011 floods (ADPC, 2013a).

The four key national plans that were developed post-2011 floods are

(ADPC, 2013a):

I. The Eleventh National Economic and Social Development Plan,

(2012-2016) aims to develop people and strengthen institutions and

build a secure natural resource and environmental base, which

requires reducing vulnerability to climate change and natural hazards

in order to meet a vision of ‘A happy society with equity, fairness and

resilience’ (ADPC, 2013b, p.2).

II. The Master Plan on Water Resource Management (2012) outlines

short and long-term actions for effective water management,

integrates participation of all water management stakeholders and

provides a framework for Single Command Water Management for

planning and effective response, developed by the Strategic

Committee on Water Resource Management (SCWRM).


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III. National Disaster Prevention and Mitigation Plan (2010-2014)

outlines principles and procedures for disaster management of

natural hazards and security threats (ASEAN Inter-Parliamentary

Assembly, 2012). There is a focus on prevention, preparedness,

emergency management and post-disaster management at all levels

and within all relevant sectors.

IV. Strategic National Action Plan (SNAP) on Disaster Risk Reduction

(2010-2019) mainstreams disaster risk reduction into governmental

agency planning and response. It is a national framework and

strategic plan that aligns with the Hyogo Framework for Action

(HFA), AADMER’s strategic plan and Thailand’s DDPM.

While the presence of the national plans suggests progress, this alone

cannot be a measurement of success. Assessment of their effectiveness is

required to better understand the implications of each of these four plans.

This section on national disaster management explained key gaps in the

flood response by the national government and its partners such as local

authorities and a range of government agencies. It then discussed the

ways in which the government is working with its partners to address

policy gaps within disaster management. The next section will explain the

ways in which Thailand is seeking to re-frame its disaster management and

development priorities from a social vulnerability perspective.

6.1.3 The social re-framing of disaster and development priorities

The reconstruction phase of the flood was an opportunity for the

government to re-frame and re-prioritise economic and political

development policies in a way that addresses social vulnerability. In

October 2011, a rapid assessment of the impact of the flood was

conducted in 26 provinces across 18 sectors, led by the Ministry of Finance


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in cooperation with the World Bank and other development partners.

Post-disaster recovery and reconstruction needs were established for

short, medium and long-term periods in a report titled Thai Flood 2011:

Rapid Assessment for Resilient Recovery and Reconstruction Planning

(World Bank, 2012b). The rapid assessment report recommended that the

Thai Government take care to ensure a ‘comprehensive social

accountability framework’ be put in place at a cost of THB 1 billion (GBP

5.1 million), highlighting the importance of accountability and

transparency in light of recent political tensions (2012b, p.7). The World

Bank (2012b) further recommended that such a framework ensures timely

access to information on recovery programmes is available to the general

public, including the resources and levels of assistance being offered; that

a complaints mechanism be established; a rigorous validation processes

for cash transfers and participants for public work schemes is put in place;

and that partnerships are established with civil society, research institutes

and the media to monitor the recovery process.

Furthermore, the World Bank’s Rapid Assessment Report (2012b)

recommended balancing investment in physical infrastructure to adapt to

and mitigate against future climate risks in conjunction with activities that

build the capacity of civil society. The report also recommended that social

systems be supported and grown through activities such as publicly

accessible mapping and modeling of geographically distributed risk; public

trainings with risk maps to increase flood preparedness in

neighbourhoods; establishment of an effective early warning system

based on accurate, timely data that takes into account geographic and

infrastructure details from hazard mapping; and clear messaging regarding

disaster management that can be trusted by the public (World Bank,

2012b).


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At the time of writing (2015) the military was in power and re-writing the

constitution. No documentation was found regarding how many of the

recommendations from the World Bank’s Rapid Assessment were taken

forward, nor were any key interviewees able to offer any insights. Having

outlined some of Thailand’s key social vulnerabilities and the potential

ways in which the Thai Government can act to assert a new

comprehensive social accountability framework, this layer will now explain

the economic impact of the flood on poorer people.

6.1.4 Economic impact on poorer people

The World Bank (2012b) estimates that 129 THB billion (GBP 2.3 billion) in

wages were lost due to the floods, including from poorer and marginalized

households with limited social protection. Suspended livelihoods activities

and challenges finding short-term, temporary, alternative forms of work

resulted in the loss of income for poorer urban people. Daily wage earners

were one of the worst affected groups (Phongnonsung and Borchard,

2012; UNESCAP, 2014); their primary coping strategy involved heavy

reliance upon borrowing money to meet basic needs (World Bank, 2012b).

With a lack of access to formal lending and credit sources, poorer urban

people turned primarily to informal lenders with daily interest rates as

high as 20 per cent (World Bank, 2012b). A leader of one of the

neighborhoods (KI34) echoed the World Bank’s findings, stating that many

people from the Bang Bua Canal borrowed money from friends and

informal lenders, most of who charged daily interest rates of 20 per cent.

Acknowledging the importance of livelihood support after a disaster, the

World Bank’s Rapid Assessment Report recommended to the Thai

government that more livelihoods programmes be offered with a strong

emphasis on ‘principles of equity, beneficiary and community

participation, transparency and accountability’, particularly for two

vulnerable groups (including migrants): able-bodied labourers who could


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participate in cash for work and a separate programme for people who

could not provide labour such as the sick, the elderly, disabled persons and

children (2012b, p. 12). Furthermore, the World Bank’s Rapid Assessment

Report (2012b) recommended social assistance to be provided by the

government in the form of one off ‘supplemental cash transfers’ of THB

4,000 (GBP 74) per household and three months of supplementary income

support for the elderly and disabled, which would see an increase from

THB 500 (GBP 9) to THB 1000 (GBP 18). Their final recommendation was

to increase access to credit institutions for poorer urban people through

non-profit organisations and community/neighbourhood savings groups to

prevent downward spirals into debt. It is not known if these

recommendations were acted upon; however, almost every person

interviewed from one of three Bang Bua neighbourhoods reported

receiving cash from the government of 5,000 Baht (GBP 92) for flood

damage to their houses, regardless of whether or not their houses were

registered.

This topography layer has highlighted the impact the 2011 flood had on

poorer people in Bangkok due to a poorly coordinated national and

municipal flood response, and how as a result, the national government

has made attempts to improve disaster response frameworks and policies.

It has also highlighted recommendations for reframing disaster and

development programmes from a social equality approach. The

topography layer then highlighted the economic impact of the flood on

poorer people. Subsequent case study chapters will provide specific details

on manifestations of the social, economic and physical impacts of the

flood. The next section will explain how the flood impacted the movement

networks and public open spaces.


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Overall, the flood damaged or destroyed portions of 1,700 roads,

highways, and bridges across Thailand costing the Department of

Highways and the Department of Rural Roads an estimated THB 139 billion

(GBP 2.5 billion) in road repairs alone (Aon Benfield, 2012). Bangkok’s

secondary airport, Don Mueang, closed down from October 2011 until

March 2013 due to flood water entering a terminal building and damage

to a runway (Aon Benfield, 2012), reducing the number or flights going in

and out of Thailand. Import and export businesses were impacted and

supply chains were disrupted.

Leaders in the Bang Bua Canal prioritised mobility and transportation in

their preparedness efforts. Before the flood struck, CODI provided a

75,000 Baht (GBP 1390) grant to the Bang Bua Canal Network to enable

them to preposition food and other essential supplies. The Bang Bua Canal

Network built 12 boats – one for every neighbourhood in the network as

part of its preparedness measures (BB4, a middle-aged man; BB20, a

middle-aged woman).

6.2.1 City-scale risk reduction, preparedness and mitigation and the

impact on local neighbourhoods

Before the 2011 flood occurred, people within the Bang Bua Canal tried to

remove rubbish from the canal in coordination with the local government

in order to increase the canal’s water carrying capacity and decrease the

risk of flooding. One senior person working for a local aid agency said, ‘The

city didn't clean the canal. We cleaned the canal. We tried to dig up the

canal because it became very shallow…. A lot of garbage was sinking and

piling up in the middle of the canal. The people coordinated with the

district to bring the garbage trucks. I cannot remember the number of

trucks but it was a very dramatic number - 50 or something. They tried to

show that the community is not the one who makes the flood happen.


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The community is not the one who makes the pollution. We are the ones

who protect the canal’ (KI3, 2014).

In spite of the risk reduction measures taken by residents of the Bang Bua

Canal, flooding still occurred. The military tried to protect city

infrastructure by creating walls out of sandbags. The erection of the walls

determined which neighbourhoods flooded. The canals in Bangkok were

some of the first locations in the city to flood (UNESCAP, 2014). When the

flood became imminent, local leaders in the Bang Bua Canal used existing

public speaker systems to warn the elderly, immobile, sick and young to

evacuate immediately. The speaker systems were subsequently used to

provide flood updates, except for in Roi Krong neighbourhood, where the

speakers were not elevated and were inoperable due to water damage.

6.2.2 Free public transport and income generation

Military forces were instrumental in opening up access to free public

transportation via heavy-duty equipment that could easily maneuver

flooded roadways and highways (Figure 6.2.2a). The large transport

equipment enabled the army to conduct search and rescue and distribute

essential food and non-food items in areas severely affected by the flood,

and inaccessible to other emergency responders. Access to public

transportation was crucial in enabling poorer urban people to continue

working. Some people from the Bang Bua Canal said they used free

transportation to travel to a market 23 kilometres away to purchase fresh

food for local resale on donated plastic boats (Figure 6.2.2b) or small,

homemade rafts made from plastic and bamboo materials (SM24, a

middle-aged woman; RK13, an elderly woman) pictured below in Figure

6.2.2c.


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Figure 6.2.2a: Heavy-duty military trucks offered free public transportation to people from the Bang Bua Canal during the flood. Source: Pattawan Lamjiek

Figure 6.2.2b: An example of the small plastic boats donated to canal dwellers to increase their mobility. Source: Pattawan Lamjiek


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Figure 6.2.2c: An example of the homemade rafts used by canal dwellers. Plastic barrels, styrofoam and bamboo were commonly used materials. Source: Pattawan Lamjiek

People who were unable to work or who begged for food before the flood,

continued to do so during the flood. Key informant interviewees reported

sharing food and water with needy people who travelled on rafts (SM26, a

middle-aged woman). Compassion and the philanthropic spirit of Thai

people was commented on by a senior monk who said, ‘we found one

thing in the floods among Thai people: people helping each other and

showing compassion. You could see cars driving around giving rides to

people, even if the driver didn’t know who the person was. That was the

generosity of people. Background didn’t matter then’ (SM33, 2014). Free

public transport and makeshift devices such as rafts therefore were crucial

to opening up economic access for financially vulnerable groups of people.

6.2.3 Public open spaces

Public open spaces are spaces that are accessible to all. During the flood

most of the public open spaces flooded except for elevated areas such as

bridges. Bridges were used to store motorcycles (Figure 6.2.3a). They were

also the place were aid agencies distributed survival items and some local


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politicians ran food kitchens. A public health system run by the district

government was implemented in all the neighbourhoods in the canal

whereby different coloured flags were used to identify various vulnerable

groups in order for the district to provide appropriate assistance such as

diapers for babies (BB20, an middle-aged woman; RK27 a middle-aged

woman). The system was not taken up by other flood response

stakeholders and due to the low capacity of the government to respond to

the needs of survivors, the flag system appears to have made little

difference in the response.

Figure 6.2.3a: An example of how people used public open space on elevated bridges to store their privately owned goods such as motorcycles. The open space on the bridge was also used by aid agencies to distribute goods and by local politicians to set up food kitchens. Source: Pattawan Lamjiek

Analysis of the public open spaces layer is minimal due to the limited use

of public open spaces during the flood. Therefore, having explained the

impact of the flood on movement networks and public open spaces, the

analysis will shift to an explanation of the flood impact on the plots layer.


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6.3 Plots

Analysis of the changes to the plot patterns in the canal before, during and

after the flood provides insight into the ways in which economic,

governance and social CAS interact to shape plots. During the flood

individual plots were entirely submerged in water restricting socio-

economic activities within individual plots and the larger plot of the entire

neighbourhood. This layer of analysis will focus on how economic,

governance and social systems adapted to the new challenges posed by

the flood.

6.3.1 Financial pressures related to plots

While it can be argued that the plots received flood damage, most of the

focus was on the damage to buildings. The financial systems developed

within each neighbourhood plot (explained in the plots section of Chapter

Five) were tested during the flood. Many of the canal dwellers were

without work for several weeks and sometimes months, therefore it was

difficult to pay mortgages and land rental costs associated with the

upgrading. After negotiations with CODI and the Bang Bua Canal Network,

the landowner (the National Treasury Department) took a decision to

delay land rental payments for one year, allowing people more time to

replenish their income (BB2 neighbourhood leadership, SM9

neighbourhood leadership). Some of the Baan Mankong savings groups

made cheaper loans available to struggling households (KI34

neighbourhood leader, KI36 neighbourhood leader).

However, the details of such arrangements will be discussed in each of the

case study chapters. Canal dwellers were also given cash grants from the

government to repair their homes – illegal or not because status did not

matter – but further discussion of this will take place in the buildings and

services layer.


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6.3.2 Flood management through the canal network

Before the flood struck Bangkok, neighbourhood leaders and other

volunteers from the Bang Bua Canal travelled more than 230 kilometres to

assist with the flood response in the northern Thai city of Nakhon Sawan.

Bang Bua Canal dwellers put the experiential learning into practice less

than a month later when their own neighbourhoods began to flood.

Leaders said they felt experienced in flood preparation and response,

including how to set up and run a network ‘help centre’ that managed

donations for all neighbourhoods in the network.

When the flood reached the Bang Bua Canal, water remained for three

months, reaching one meter high for nearly a month (SM9 neighbourhood

leadership). The Bang Bua Canal network quickly set up its own help

centre with assistance from CODI. The help centre received donations and

coordinated distributions. It shared information updates, including data on

neighbourhood needs and the trajectory of the flood. Individuals in the

network came up with innovative ways to harness new potential from old

relationships with various external stakeholders developed over the past

ten years of upgrading. For example, local politicians donated food and

money; universities sent students with specialised skills such as medical

practitioners and engineers to advise on ways to prevent electrocution.

Some neighbourhood leaders had wealthy friends who drove supplies into

the neighbourhood from cities and towns outside of Bangkok.

Those employed by the military used their network to access information,

food, and transportation. Most donations were dropped off at the help

centre where items were sorted and redistributed according to differing

needs within the various neighbourhoods. Smaller neighbourhood

kitchens were also set up in spaces with minimal flooding such as bridge

ways, public roads or community offices. Volunteers cooked and served

food purchased from neighbourhood savings funds or local distributions.


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At times the network rivaled the district in terms of effectiveness of its

flood response as evidenced by the fact that during the crisis the Bang Bua

Canal Network grew its membership from 17 to 38 neighbourhoods (KI33,

a neighbourhood leader).

One man said the network aspired to run its own fully functional

evacuation centre if future events like this occurred (KI32, a

neighbourhood leader). However, not all neighbourhood leaders

preferred working through the peer network. One leader who was not

active in the Baan Mankong upgrading programme felt support should

have been directly given to elected neighbourhood leaders in order to

ensure it was distributed fairly. All leaders interviewed were very clear

that aid should be given to the government as a last resort due to the fact

that it reached the neighbourhoods too slowly.

6.3.3 Self organisation at the neighbourhood level

The ability to self organise was paramount to an effective flood response

in the canal. Reflecting on the experience of setting up the help centre,

one leader from the canal network explained that because relationships

were tightly knit it was easier to set up the help centre (KI32). One leader

explained that the ability to self organise is important during times of

crisis, saying, ‘our process is run by our community. We know best what

we want, how to manage it and what we are facing’ (KI33, 2014,

neighbourhood leadership). He then said, ‘the lesson we learned from the

flood was the importance of being a part of the [Bang Bua Canal] Network

instead of trying to survive as a neighbourhood on its own. This network

offers power and support for negotiation. We get assistance to people

who really need it. The network has been good for both the giver and the

receiver’ (KI33, 2014, neighbourhood leadership). Other members within

neighbourhood leadership roles said that the network prevents conflict

and avoids unfair and unequal treatment of individuals, and that


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whenever a network is available, it is advisable to use it, not to distribute

goods directly to individuals (KI34, a neighbourhood leader; KI36, a

middle-aged woman).

Having discussed the economic, governance and social influences on the

plots layer during the flood, the following section analyses the buildings

and services layer.


The buildings and services layer provides analysis of urban form at a small

scale, giving insights into key economic, governance and social dimensions

that helped build resilience. This layer specifically focuses on explaining

how poorer urban people were disproportionately affected by the floods

due to the low quality of the buildings they lived in. This section also

explains how the government district authorities were limited in their

capacity to respond to the needs related to shelter and services within

many neighbourhoods.

6.4.1 Poor quality housing and vulnerability to flooding

Figures from the National Housing Authority (NHA) show that the flood

disproportionately affected poorer urban people. Out of an estimated low-

income population of 624,640 in Bangkok, the NHA estimates that 457,805

people (approximately 73 per cent of Bangkok’s low-income population)

were affected through data collected by GIS mapping and ground surveys

before and after the flood (UNESCAP, 2014).

Table 6.4.1 below offers a comparison between the total population of

Bangkok and the total population of urban poor.


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Total population of Bangkok Total population of urban poor in

Bangkok

Population of Bangkok:

8,249,117

Total number of low-income

population: 624,640

Total number of flood affected

people: 1,766,931

Total number of low-income flood

affected people: 457,805

Percentage of flood affected

people: 21 per cent

Percentage of flood affected: 73%

Table 6.4.1: The total population affected by the flood in Bangkok compared with the total population of low-income people affected by the flood. Source: this table uses information drawn from (UNESCAP, 2014).

Many of the low-income homes are located in open spaces along canals

and rivers, and are primarily single storey homes constructed with light

timber or bamboo and corrugated iron, therefore making poorer urban

people one of the most affected groups during the flood (UNESCAP, 2014).

Flooding in the canals tended to linger the longest. Figure 6.4.1a below

shows a map of flood-affected low-income neighbourhoods in Bangkok,

depicted by red dots. Low-income neighbourhoods not affected by the

flood are indicated in green. The map shows that the flood affected a lot

of low-income neighbourhoods in northern Bangkok, including the Bang

Bua Canal.


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Figure 6.4.1a below shows a map of flood-affected low-income neighbourhoods in Bangkok, depicted by red dots. Low-income neighbourhoods not affected by the flood are indicated in green. Source: (National Housing Authority of Thailand, 2011).


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In the Bang Bua Canal, the most vulnerable people were those who lived

in one-storey homes; people who were unemployed; illegal migrant

workers; or people who generally required more protection such as

children, the elderly, or those with mobility challenges. People living in

two-storey homes had a second floor to evacuate to, but those in one-

storey homes were particularly vulnerable because there was nowhere to

escape the floods. Moreover, homes constructed of low-quality materials

such as wooden flooring and walls, rotted during the three months of

flooding. Stilt houses built over the canal were reported by people to be

sinking in the mud due to subsidence (RK20, a middle-aged man; RK13, an

elderly woman). Moreover one-storey homes had limited places to store

valuables such as beds, TVs and motorcycles out of the reach of

floodwater. Figure 6.4.1b below is a photograph of a series of single storey

homes surrounded by floodwater. Many of them are made of wood and

corrugated iron, which quickly rusted when the floodwater receded.

Figure 6.4.1b: The Bang Bua Canal during the 2011. The most vulnerable houses in this photograph are single-storey homes made out of wood and corrugated iron. Single storey homes received a significant amount of damage to their floors, walls and valuable household items that could not be elevated out of the reach of the floodwater. Source: Pattawan Lamjiek


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Figure 6.4.1 below shows the inside of one woman’s single storey home.

The walls are covered over in rusted corrugated iron. The home has

limited space to store valuables. There are a few elevated planks of wood

on the right hand side of the photo to store things. The canal has flooded

and is waist height in the photograph. It remained at this level for over a

month.

Figure 6.4.1c: One-storey homes left people vulnerable to flooding. Source: Pattawan Lamjiek

After the flood the central government gave a grant of 5,000 Baht (GBP

92) to each household as compensation for flood damage. Key informant

interviews with canal dwellers and district authorities confirmed that

homes did not require formal registration to receive the government

grant; rather the existence of a home qualified the owner to receive the

grant. Most people interviewed in the Bang Bua Canal received the grant

but said it was not enough to cover the cost of the total flood damage to

their homes.


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Financial burdens were further lightened through a period of grace

granted to residents with home reconstruction loans. Negotiations

between the neighbourhoods and CODI over land repayment resulted in a

one-year freeze on repayments (RK27, a middle-aged woman; SM9, an

elderly man).

6.4.2 Evacuation centres and vulnerable people

The NGO Plan Thailand reports that at the peak of the flood, more than

2,600 evacuation shelters housed over 165,000 people in need of

temporary accommodation (Phongnonsung and Borchard, 2012). Nearly

900 schools were turned into flood evacuation shelters (Phongnonsung

and Borchard, 2012). Save the Children found that well meaning, well

intentioned people who do not have disaster management experience

were often in charge of evacuation centres (Barber, 2012). A number of

residents from the Bang Bua Canal evacuated to the nearby temple Wat

Pra Si where a group of 60 monks were providing food and

accommodation to some 300 people. The monks described their key

challenge during that time as ‘taking care of people’. One senior monk

went on to explain that although not permitted, youth were found

drinking; minor vandalism occurred; and disputes between families over

equitable distribution of relief items were frequent.

The flood damaged an estimated 2,934 schools and delayed the school

term by more than 21 days, affecting over 1.4 million children

(Phongnonsung and Borchard, 2012). To make up for lost time students

studied for one extra hour during their daily schedule and for additional

time on Saturdays. One school teacher explained that the school year was

also extended into summer holidays to complete the full curriculum

(SM26, a middle-aged woman).


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A Save the Children assessment report of the flood response in Thailand

noted that no formal provisions for migrant workers were made by the

disaster management authorities who did not see the needs of migrant

workers as their area of concern (Barber, 2012). Also, the stress of the

flood took its toll on mental health. The Ministry of Public Health reported

that psychosocial issues amongst flood-affected people included high

levels of stress, depression and suicide risk (Watts, 2011).

Evacuation centres were often considered a last resort. Most people in

Bang Bua neighbourhood and many in Saphan Mai neighbourhood did not

have to evacuate because they were able to live in the second storey of

their homes. They also had access to basic services such as water and

electricity. According to the leader of Roi Krong, approximately 40 per cent

of the people in the neighbourhood evacuated. One middle-aged woman

interviewee who stayed in an evacuation shelter for the duration of the

flood said her family went there because there was ‘food’, a ‘place to

sleep’ and that ‘life was better there’ (KI32, 2014). Key informants said

they employed a number of coping strategies in relation to food security,

including reducing the amount and quality of food they ate, as well as

moving between their homes and evacuation shelters to pick up donations

at both locations (RK28, a middle-aged man; BB8, a middle-aged woman).

6.4.3 Government district authorities and local neighbourhood needs

The district authorities have primary responsibility for providing flood

relief services, but were limited in their capacity to adequately respond to

local needs. Government staff in Lak Si district cited a lack of knowledge,

funds and coordination as some of their key challenges (KI37, a middle-

aged man; KI15, a middle-aged woman). The Bang Bua Canal acts as a

boundary line between the district of Bang Khen and Lak Si. Both districts

governing the canal said they were inexperienced in preparation and

response for large-scale flooding. The Lak Si district government stated

that it was problematic for them to procure funding for food and non-food


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items during the emergency as well as cleaning supplies and equipment

after floodwaters receded (KI37, a Lak Si district government officer).

According to Lak Si government key informants there was limited access

to the federal emergency response system, which left the local

government not knowing who to coordinate with and where to request

supplies. The same district officer said, ‘we are supposed to be the official

authority, but in reality we are not’ (KI37, 2014, a government officer from

Lak Si District). The Bang Bua Canal Network is comprised of

neighbourhoods from both Bang Khen and Lak Si districts, and therefore

coordinated activities with both district offices.

Having explained the ways in which poorer urban people were

disproportionately affected by the flood due to the types of buildings they

lived in, this chapter ends with a summary of the issues raised and draws

some key conclusions.

Conclusion

This chapter provided an analysis of how different morphological layers

were impacted by the 2011 flood with a focus on the Bang Bua Canal and

its link to systems within municipal Bangkok and Thailand more broadly.

Analysis of the four morphological layers provides a framework for

assessing the ways in which economic forces, governance networks and

social dynamics interacted to shape events and activities before, during

and after the flood.

The topography layer discussed key facts about the flood impact,

suggesting that while the unusual number of tropical storms created the

potential for the flood, governance factors related to a lack of

preparedness and an inability to coordinate a flood response at multiple

levels played a major role in the widespread impact. The national flood

management response was then analysed, concluding that poor


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coordination was a result of ineffective preparedness frameworks at a

national level, conflict between municipal and national levels of

government and bypassing of local authorities. Four national plans were

then presented suggesting efforts were being made to address policy gaps

revealed by the floods on areas that include strengthening economic and

social development, water management, and disaster prevention,

mitigation and risk reduction activities. The layer concluded with analysis

of the economic impact of the flood, concluding that daily wage earners

were one of the most impacted groups, and that greater livelihood

support was necessary to assist poorer people to meet basic needs.

The movements and public open spaces layer analysed the use of roads

and pubic open spaces during the flood, concluding that transport mobility

was essential for enabling income generation to continue. A number of

key informants in the Bang Bua Canal travelled to functioning markets to

buy goods for resale within their local neighbourhoods via home-made or

donated rafts. While many of the public open spaces flooded, bridges

untouched by the floodwater provided space for neighbourhood services

to be carried out such as food kitchens and distribution centres. Valuables

such a motorcycles were also stored in public open spaces.

The plots layer analysed how the impact of the upgrading on individual

and neighbourhood plots. Mortgages and land rental debts were frozen

for one year, alleviating the financial pressures on people in the Bang Bua

Canal, crucially reducing some of the financial risks associated with

upgrading. In terms of governance, the plots layer highlighted how

development mechanisms such as the Canal Network were essential to

managing an efficient and effective response. The network became so

important that it grew in membership from its original 17 neighbourhoods

to 38 by the end of the flood. Linked to the success of the network is


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leadership and the ability to self-organise in a way that is inclusive and

participatory.

The buildings and services layer analysed the ways in which the quality of

a building determined vulnerability to flooding and the role of government

in meeting basic needs during the flood. One of the key conclusions from

this layer is that low-income people in the canals were one of the worst

affected groups because flooding first began in the canals and lingered

there the longest. The most vulnerable groups included people who lived

in one-storey homes, were unemployed, illegal migrants or had mobility

challenges such as the elderly, children and PLWD.

A primary coping strategy for such people was to move to evacuation

centres to access services and meet basic needs; however, ‘hidden’

populations such as migrants were not assisted through evacuation

centres and were at risk of being forgotten by response agencies.

Finally, the building and services layer concluded that while district

government authorities were primarily responsible for looking after the

needs of the neighbourhoods in their areas, they lacked experience in

disaster response, resources to meet needs and were often not

coordinated with when agencies and private individuals provided

assistance.

This analysis in this chapter highlights that preparedness and response

actions within the Bang Bua Canal were more coordinated and effective

than those by the government at the district, municipal and national level.

The evidence supporting this conclusion is found at the different

morphological layers, suggesting that over a decade of development work

targeting social, economic and governance structures enabled canal


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dwellers to adapt their systems to a flood event with an overall degree of

success.

However, the actions and activities of individual neighbourhoods differ

from one location to the next, depending on the neighbourhood’s history,

its social dynamic, governance structures and economic arrangements.

How and why do they differ?

The next three chapters focus on individual case studies of upgrading

actions before the flood and how the systems adapted during and after.

The case studies seek to answer understand the drivers of resilience within

each individual neighbourhood.

Chapter seven: case study one – analysis of Bang Bua Neighbourhood

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Chapter seven Case study one – analysis of Bang Bua Neighbourhood

Introduction

The next three chapters will analyse individual case studies, starting with

the Bang Bua Neighbourhood in this chapter. This chapter specifically

seeks to analyse ways in which economic, governance and social CAS

influence different morphological layers in order to establish dimensions

of resilience before, during and after the flood in Bang Bua

Neighbourhood.

The chapter begins with a profile of Bang Bua Neighbourhood. It then

seeks to explain how economic, governance and social systems interacted

at four morphological layers before, during and after the 2011 flood.

Concerning the topographical layer it is explained that, due to the small

geographical space of the case studies, typological analysis for all three

neighbourhoods can be found in Chapters Five (everyday risks in the Bang


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Bua Canal) and Six (the impact of the 2011 flood). Regarding the

movement networks and public open spaces layer, analysis shows the

importance of investment before and after a disaster in order to ensure a

basic level of functionality occurs during a crisis. The plots layer

demonstrates the value of transparent and accountable economic and

governance systems, and how high levels of trust are at the centre of

making economic and governance systems work well. The buildings and

services layer analyses the ways in which a strong built environment

supports people during a disaster and aids in their economic and social

recovery. Lastly, this chapter explains how the key findings were tested

with the neighbourhood residents in order to validate the dimensions of

resilience as perceived by residents in the Bang Bua Neighbourhood.

Methodological approach of this chapter

The methodological approach for the analysis of the Bang Bua

Neighbourhood consisted of two main methods: morphological analysis,

and coding (using of NVivo software). Maps with information about

building use, upgrading plans, roads, electrical grids and pipelines for

water and sewerage were the primary morphological tools used. Systems

analysis was conducted primarily through coding with NVivo software to

analyse key informant interviews and focus group discussions.

Furthermore, where possible, contextual information gathered through

key informant interviews, participant observation, PRA tools such as

timelines of the flood and a household vulnerability assessment was also

coded. Transect walks with residents were undertaken in order to

triangulate information, and key observations were documented through

journal writing.

7.1 Neighbourhood profile

Bang Bua Neighborhood is well known for its upgrading success, and is

often visited by other neighbourhoods participating in upgrading and


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researchers as a study of good practice. It registered as a formal

neighbourhood in 1993 (BB4, an middle-aged man). There are 229

households, most of which were reconstructed during the upgrading

programme within three years, of which one year consisted of building a

collaborative community vision and land sharing negotiations. The

neighbourhood agreed to join the Baan Mankong programme, to form a

savings group and to legally register as a cooperative. The cooperative

negotiated a 90-year lease agreement for the land. As shown in Figure

7.1.2 below, the neighbourhood shares a property line with a military

base. Bang Bua Neighbourhood residents come from a range of

backgrounds. Approximately ten per cent of the people work for the

government, ten per cent as employees in businesses and 70 per cent as

daily wage earners (KI20, a middle-aged woman on the leadership team,

confirmed by other interviewees). A total of 20 households were

interviewed in the research resulting in a baseline survey of eight per cent.

Three focus group discussions were also conducted; the first with 18

people on 21 February 2014, the second with 13 people on 2 March 2014

and the third on Aug 10 2014 to test findings with 13 people.

Before the 2011 flood affected the Bang Bua Canal, people from the

leadership committee traveled to the north of Thailand to support peer

groups from the Baan Mankong Network, who were already experiencing

the flood. Interviews with local residents determined that the flood lasted

for three months in Bang Bua Neighbourhood. The water started off at a

level of approximately 0.6 meters, and after a month reached between 1-

1.5 meters before it began to slowly recede (BBFGD2). Seven days passed

before external assistance arrived in the neighbourhood (BB4, a middle-

aged man in leadership; BBFGD2). Ensuring people had enough food was

one of the key issues raised by residents (BBFGD2). The other most

frequently raised issue was finding money after the flood to pay debt,

restart livelihoods and repair homes. Figure 7.1.1 below is a photograph of


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Bang Bua Neighbourhood in 2014, three years after the flood event took

place. Figure 7.1.2 is a building use map from the Bangkok Metropolitan

Authority that shows Bang Bua Neighbourhood located between a military

base and the Bang Bua Canal. Having described Bang Bua’s

Neighbourhood profile, the chapter will next analyse the topography layer.

Figure 7.1.1 Bang Bua Neighbourhood shows no signs of the 2011 flood, three years after the event took place. Source: the author


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Figure 7.1.2: A building use map from the Bangkok Metropolitan Authority that shows Bang Bua Neighbourhood located between a military base and the Bang Bua Canal. Residential buildings are indicated in yellow. Source: (Department of City Planning, 2014a).


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7.2 Topography

Due to the small geographical location of the research of three kilometres,

the topographical analysis of the entire Bang Bua Canal was conducted in

Chapters Five and Six through a systems and morphological analysis of

Bangkok, and will therefore not be repeated in this chapter. This chapter

will now focus its discussion on Bang Bua Neighbourhood’s movement

networks and public open spaces in order to investigate dimensions of

resilience.


Analysing movement networks and public open spaces creates further

understanding of how Bang Bua Neighbourhood links with wider mobility

and public open spaces in Bangkok. During the flood, roads, streets,

pedestrian lanes and public open spaces used by residents from Bang Bua

Neighbourhood were submerged in water. While movement networks and

public open spaces did not play a large role during the flood, they were

significant in building resilience before and after the flood.

7.3.1 Road accessibility

The roads in Bang Bua Neighbourhood received little to no damage during

the flood due to robust, sustainable construction techniques used in the

neighbourhood upgrading as shown earlier in a photo in Figure 7.1.1.

Therefore, when the water receded, residents were able to immediately

access parts of the city to purchase food and water, resume employment,

attend school and carry out daily life.

Before the upgrading occurred, one key informant, an academic, described

Bang Bua Neighbourhood’s pedestrian lanes as ‘narrow and twisted’

(KI30). Today, Bang Bua’s main pedestrian lane is made of concrete, is

three meters wide and 629 meters long, and is situated parallel to the


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canal (as shown below in Figure 7.3.1a). The lane is covered with

intermittent humps to protect pedestrians from motorcycles traveling too

quickly. The canal-based pedestrian lane was built after houses moved

from the canal bank onto land. The sides of the canal were reinforced to

prevent subsidence and an elevated pedestrian lane was built. This lane is

a source of pride for the Bang Bua Neighbourhood, and was often

mentioned as an indicator of success by residents from Saphan Mai and

Roi Krong Neighbourhoods.

The smaller alleyways, also made of concrete, are two meters in width and

537 meters in length, and are built around mini blocks to further open up

access as shown in Figure 7.3.1a below. The main entrance to the

neighbourhood is from Phaholyothin Road, Soi 49/2, through a military

base. It is a shortcut into the neighbourhood negotiated by a former

neighbourhood leader and a local politician (Wungpatcharapon and

Tovivich, 2012b). Figure 7.3.1b below is a photograph of the new

entranceway to Bang Bua neighbourhood via the military base shortcut.

Prior to the development of the shortcut, access to Bang Bua

Neighbourhood was through a much longer walk via a road on the

southern side of the canal.


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Figure 7.3.1a: This map of Bang Bua Neighbourhood indicates primary pedestrian lanes (with motorcycle access) in red and alleyways in yellow. Source: (Bang Bua Neighbourhood, nd-d)


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Figure 7.3.1b: This photograph shows a pedestrian size entrance to Bang Bua Neighbourhood via the shortcut through the military base. Source: the author


Public open spaces such as playgrounds and open green spaces around the

library and community building were flooded and therefore unusable for

the duration of the flood. However, they were essential for

neighbourhood residents to access during their recovery as a means of

‘returning to normal’. For example, at the centre of the neighbourhood

lies a designated open space next to a sacred Tamarind tree shown on a

map in Figure 7.3.1c and in a photograph in Figure 7.3.1d below. Usually

20-25 children up to the age of 12 play together in this open space

between 17:00-19:00 on a daily basis. The children use the tops of bottles

or their own shoes to play games, oftentimes supervised by a group of

socialising adults. A child returning to his or her regular routine is an

important way to establish a sense of stability after a disaster

(Phongnonsung and Borchard, 2012). A second public open space often

used is the compound around the community centre where adults tend to

meet and have conversations while children play with outdoor

recreational equipment (shown in the map in Figure 7.3.1c below). A third

space is in front of the library, also indicated in Figure 7.3.1c below.


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Figure 7.3.1c: This map of the planned reconstruction in Bang Bua Neighbourhood indicates houses in orange and public open spaces located in front of the library in blue (top), at the community centre (middle) and next to the Tamarind tree (bottom). Source: (Bang Bua Neighbourhood, nd-e)


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Figure 7.3.1d: A photo of the open public space that was cleared for children to play safely in the centre of the neighbourhood instead of in parking lots. Source: the author

Having discussed the influence of economic, governance and social CAS on

roads and public open spaces, several key dimensions of resilience stand

out. Firstly, improvement in the quality of roads and public spaces resulted

in a safer environment. Secondly, social identity was enhanced through

feelings of pride for having achieved a pedestrian lane that runs parallel to

the canal. Thirdly, construction of safer roads and public open spaces

arose from the neighbourhood’s ability to take collective action. Fourthly,

a sense of social cohesion assisted the neighbourhood with taking

collective action to build safer lanes and new public open spaces. This

chapter will now focus on the way in which plots in Bang Bua

neighbourhood were influenced by CAS before, during and after the flood.


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7.4 Plots

Having explained the key dimensions of Bang Bua Neighbourhood’s

movement networks and public open spaces before, during and after the

flood, this section on plots will now interrogate the ways in which the

plots layer changed over time. An analysis of the way in which CAS shaped

and transformed plots in Bang Bua Neighbourhood are presented.

A land rental agreement was secured for Bang Bua Neighbourhood in

2004, allowing residents to make significant investments in economic,

governance and social systems that seemingly contributed to a more

effective response to the flood and a quicker recovery time. Before the

flood struck, architects, planners and development workers from CODI

collaborated with Bang Bua Neighbourhood residents to re-order

neighborhood plots. The neighborhood developed categories such as a

‘pet friendly zone’, which was far away from the ‘party zone’ because

animals tended to get upset by the noise from party makers (BB20, a

middle-aged woman). Families and friends were given the option to

remain where they were or to shift plots in order to live near one another.

Figure 7.4a below shows the categories that were used as the basis for re-

blocking plots through participatory planning. Purple is people who were

willing to sacrifice their land; pink for a group of people that liked

gambling; yellow for ‘landlords’ who rented out rooms in their homes and

were the last ones to join the upgrading; blue for another group of owners

that identified itself differently from the yellow group; green for vendors;

and orange for relatives of people living in the next neighbourhood. Not all

residents in the neighbourhood agreed to participate at the start, but the

programme went ahead with the belief that others would participate once

they saw physical evidence of positive change. Figure 7.4b shows how the

plots looked after 100 per cent of the re-blocking took place. Each

household agreed to pay 50 Baht per month towards the cost of renting

the land (BB1, an elderly man; BB20, a middle-aged woman).


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Figure 7.4a: A map of Bang Bua Neighbourhood before the re-blocking of plots took place. Each colour signifies a group of houses that shifted their plots to live next to each other. Source: (Bang Bua Neighbourhood, nd-a)


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Figure 7.4b Bang Bua Neighbourhood after 100 per cent of the re-blocking. Source: (Bang Bua Neighbourhood, nd-e)


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7.4.1 Savings groups

The neighbourhood savings group was active before, during and after the

flood. Years before the flood occurred groups such as a women’s catering

enterprise, a construction workers group and a youth club were formed

during the upgrading process. The groups gave an otherwise economically

vulnerable group of people an opportunity to build social capital, earn

extra income and learn new skills. One academic key informant said,

‘during the neighbourhood construction they [CODI and its partners]

engaged a lot with jobless youth and women. Residents became skillful

builders after the programme, and that has become an occupation for

former jobless residents. I think it was a very rich experience for residents’

(KI30, 2014).

During the flood, money saved for welfare activities enabled basic needs

to be met through the establishment of a food kitchen. After the flood

receded, access to loans through the savings group made it possible for

people to repair damage to their homes or use cash in hand to re-start

their small businesses such as food vending. An overwhelming majority of

people interviewed said one of the biggest challenges during the flood was

unemployment, but received supplementary income from some of the

livelihood activity groups started up years before the flood.

After the flood some people said they went back to their previous jobs but

relied on supplementary income from the livelihood groups that were set

up during the upgrading (BB6, a middle-aged woman; BB18, a middle-aged

woman). Therefore, livelihood skills and activities that were started before

the flood occurred proved to be a financial cushion for people who needed

to diversify their income generation strategies after the flood. The

livelihood groups provided a flexible way for people to earn additional

cash to supplement their individual income earning activities.


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7.4.2 Governance structures

Due to the large size of the neighbourhood, sub-committees were initially

set up to collect census data about the households to assist with

upgrading activities. During the flood, the data census sub-committee

system started back up but adapted itself to the flood by collecting

information about needs in relation to food and non-food supplies such as

medicine and hygiene products. It therefore became an important

mechanism for monitoring and responding to needs. One sub-committee

leader was assigned responsibility for tracking information related to four

to five nearby households (BB18, middle-aged woman). The sub-

committee leader was expected to attend a small number of community

meetings in order to update information on needs and people evacuating

or returning to the neighbourhood. The sub-committee leaders were also

asked to be present when aid was delivered and divided in order to

establish an additional layer of transparency and accountability (BB18,

middle-aged woman; BB4 middle-aged man). Therefore, evidence of pre-

existing neighbourhood governance structures adapting to guide the flood

response of the neighbourhood can be seen.

Strong leadership was cited as a factor for increasing the efficiency of the

flood response. As was stated earlier, people within the leadership team

volunteered their time in a flooded area north of Bangkok to gain

experience from their peers and set up a response system locally before

the flood arrived. One academic key informant (KI30) believes that Bang

Bua Neighbourhood’s strong leadership in the flood comes from ten years

of problem solving chronic stresses together before the flood. He said,

‘Because of Baan Monkong they [Bang Bua Neighbourhood] kept

practicing problem solving together and became united at a deeper level. I

think this was achieved not only by the group work, but also by the

community leader himself. He contributed a lot’ (KI30, 2014).


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The elected leader of Bang Bua Neighbourhood was also selected to lead

the Baan Mankong upgrading programme. The overlap in leadership is

seen as a strength by most residents interviewed because it aligns the

elected committee, recognised by the government, and the upgrading

committee, ultimately improving the way they work together. According

to one academic key informant (KI30), the leader demonstrated faith in

the upgrading process, was the first to remove and rebuild his home, and

exemplified selflessness by giving up seven personal plots of land for other

people to occupy. As a result of his actions, the leader was viewed with

great respect. The academic key informant said, ‘He [the leader] was the

one who tore down his house first. That was one of the key triggers that

convinced people. They had no excuses for backing out because the leader

had assumed all the risk. He was smart enough to give people jobs to do in

the design and construction phase … he has strategic thinking. The people

he was leading were busy with their regular jobs. It's very skillful thing to

lead people into extra work’ (KI30, 2014).

Evidence of Bang Bua Neighbourhood’s strong leadership is also

demonstrated by the strategic planning of their social welfare system. It

soon grew beyond assisting with funeral costs and school fees into

providing free social housing in low-rise apartment blocks for elderly

tenants, the only neighbourhood in the canal known to provide this level

of support for the elderly.

However well people in leadership positions preformed, there were still

suspicions of corruption (BB2 a middle age-woman; BB20 a middle-aged

woman). As one member of the leadership committee said, ‘People are

suspicious when we buy something new. We have to prove that the

cooperative’s account balances and be open to answering questions about

finances from anyone’ (BB2, 2014).


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Politics reflecting the political unrest in in Bangkok in 2014 were described

as having the potential to cause a deep divide in this neighbourhood.

While vote buying has been present in Bang Bua Neighbourhood for a long

time, the political stakes were high in 2014 as protestors tried to remove

the government from power. Supporters from the opposition and

governing parties reside in Bang Bua Neighborhood, and reflected the

political divisions in the country at the time. As one middle-aged man in a

leadership role said, ‘Twenty years ago we used to be cousins and friends,

but now we are separated by political differences because politicians buy

votes here’ (BB4, 2014). He went on to describe the importance of putting

politics away in order to achieve progress in the neighbourhood, ‘If we are

strong enough we can be one in balance with politicians, not waiting

around for them to support our development work’ (BB4, 2014).

7.4.3 Social dynamics

A high level of trust appeared to be evident throughout the

neighbourhood before the flood. When asked why people trusted one

another one middle-aged woman responded by saying, ‘we have trust

here because certain people are strong and patient. To build trust you

have to craft your words carefully, participate in activities to get to know

one another and work together on important issues’. She cited the

celebration of Mother and Father’s Day, and the use of the neighbourhood

boat as special events that encouraged people to meet and build

relationships.

Physical progress from the Baan Mankong upgrading programme appears

to have also developed trust amongst Bang Bua Neighbourhood residents.

When one middle-aged woman was asked how she felt about the impact

of the neighbourhood upgrading she said, ‘progress cannot cease; it makes

me proud so I keep doing it’ (BB2, 2014, a middle-aged woman). Feelings

of pride, respect and dignity were common words used to describe the

progress of the upgrading work. Another middle-aged woman said, ‘I’m


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proud of what we’ve done, even if I didn’t make any money from it’ (BB18,

2014). Rewards of recognition were given to people who went beyond

what was expected of them. For example, individual waste management

awards can be seen on placards on the front doors of some houses,

incentivizing families to continue with wise waste management processes.

Another middle-aged woman reflected that there was less conflict now

that plot boundaries were clear. She said, ‘in the past there were daily

fights about who could access and use certain areas’ (BB20, 2014).

Overall, the ability to self organise appeared to be empowering for Bang

Bua Neighbourhood. As one focus group discussion concluded (BBFGD2),

children have more protection now that they play in the protected public

space instead of parking lots, people have more and better jobs, some

homes can afford the Internet and there has been a reduction in social

problems such as fewer arguments and less drug trafficking. In summary,

social dynamics within Bang Bua Neighbourhood improved as levels of

trust increased between residents.

Having explained the influence of different economic, governance and

social CAS in the plots over time, several key dimensions of resilience can

be identified. Firstly, the presence of land tenure made investment in

individual and neighbourhood infrastructure and systems a secure

investment. Secondly, a transparent and accountable savings group made

it possible for residents to access affordable loans.

Thirdly, an effective neighbourhood governance structure managed the

upgrading process and other day-to-day neighbourhood issues. Fourthly, a

high degree of social capital was developed through collective activities.

The next section discusses the ways in which CAS shaped buildings and

access to services over time.


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Effective economic, governance and social processes created strong

buildings and services that were able to withstand the flood and allowed

the community to ‘bounce back’ quickly. This section explains the qualities

of the homes and their access to electricity and water as well as the way in

which the community centre was at the heart of the flood response and

remains important to this day.

7.5.1 Robust homes

Most of the residents in Bang Bua Neighbourhood remained in their own

homes when the flood hit. Almost all of the houses have at least two

stories (as shown in Figure 7.5.1b), giving families a place to retreat to

from the floodwater. As discussed in the plots section above, basic needs

were met through voluntary work carried out by sub-committee leaders.

Ultimately, conditions within Bang Bua Neighbourhood were better than

those in the evacuation centres.

After the floods, houses received minimal damage due to strong, concrete

foundations and good overall construction. Floodwater damaged

household items such as beds, furniture and doors, but none of the houses

collapsed, as was the case in other neighbourhoods. Residents spent their

own savings and government flood compensation money to repair the

damage to their homes.

Prior to the flood, housing radically changed in Bang Bua Neighbourhood.

Since 2004 many of the wooden shanties have transformed into to well-

constructed homes. Most of the homes now have two stories; wealthier

families have three stories. While the design may differ, the structures all

have concrete floors and walls as shown in Figure 7.5.1a below. Nearly all

of the homes in the neighbourhood measure five meters by ten meters

squared, and were built with loans of up to 150,000 Baht (GBP 2,779).


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Families with more than eight people have homes that are seven and a

half meters by ten meters squared with loans of up to THB 186,000 (GBP

3,445). Loans were granted to people who could provide a ten per cent

down payment.

Size Cost in Baht Total Cost GBP

Yearly Cost Daily Cost

5x10 150, 000 Baht

£2,779.00 £185.00 £0.50

7x10 186,000 Baht £3,445.00 £230.00 £0.63 Table 7.5.1: A table of the size of houses built in Bang Bua Neighbourhood and the costs associated. Source: the author

Terraces and balconies are common across most of the houses. Groups of

friends meet and socialise on their terraces or ‘sala’, a Thai word used to

denote a gazebo-like structure that provides shade from the sun. Elderly

people socialise together on the ‘sala’ while they look after young

children. Several of the ‘sala’ are located on the canal bank, not having

moved during the redesign or having been built subsequent to the

reconstruction of the neighbourhood.

Making vulnerable homes safe

When asked to explain what a strong, safe house looked like, eight people

in a focus group discussion (BBFGD2) were asked to draw houses (Figure

7.5.1a) indicating qualities that are frequently seen in the neighborhood

(Figure 7.5.1b). Their perceptions of ‘strong’ and ‘safe’ were for the most

part realised by the reconstruction of houses through Baan Mankong’s

upgrading.

Many of the values of a strong house related to flood risk reduction. For

example, a cement foundation was prioritised because it was able to

withstand flood damage better than wood; it also made a house safe from

fire. Having a house with two stories was valued because it permitted the


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storage of valuables out of reach of floodwater. A toilet on the first floor

was also prioritised because it ensured continued use of a toilet in the

event of a future flood.

A terrace for outdoor living was also listed as important because it was a

primary place for socialising as shown in Figure 7.5.1c. Lastly, mobile

furniture instead of the type of furniture built in into the wall was deemed

crucial for avoiding flood damage.

Figure 7.5.1a: A drawing of strong, safe houses, created during a focus group discussion (BBFGD2) with eight Bang Bua Neighbourhood residents. The drawing highlights the difference between perceptions of a strong home (blue) and a weak one (red). Source: Bang Bua FGD2 on 2 March 2014


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Figure 7.5.1b: Qualities described in the picture created by participants in the focus group discussion mentioned above can be seen in the actual houses in Bang Bua Neighbourhood. For example, two and three storey homes with cement foundations and frames as shown in this photo of Bang Bua Neighbourhood. Source: the author

Figure 7.5.1c: A terrace or ‘sala’ for outdoor socialising was listed as an important quality of a house. Source: the author


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Making vulnerable people safe – the role of welfare homes

Older people with mobility constraints live on the bottom floor of two

apartment blocks built for people who were previously renting rooms in

Bang Bua Neighbourhood and who continue to do so today. The rules that

govern the upgrading process state that people who have been renting in

Bang Bua for a period of five years or longer have the right to stay in the

neighbourhood by renting an apartment in one of two low-rise blocks of

flats. After ten years the tenants are given the right to own the apartment.

A total of 10 families currently rent (BB20, a middle-aged woman). The

income from the rental payments in combination with an initial small

grant from CODI (Wungpatcharapon and Tovivich, 2012a) finances the

welfare homes occupied by the elderly.

The process of building safer, stronger homes has fundamentally changed

the way people in Bang Bua Neighbourhood see themselves. One

academic key informant said, ‘Bang Bua is different from other

communities like Roi Krong, because 100 per cent of the people moved

their homes from the water. This process of reconstruction has changed

the identity of the people from the core, and in the best of ways’ (KI30,

2014).

7.5.2 Access to services

Access to running water and electricity was available to those who had

two storey homes. Electricity was shut off on the bottom floor only. Toilets

however, were much more problematic, as many people had toilets on the

ground floor, and not on the second storey. After the floodwater receded,

water, electricity and sanitation facilities worked as efficiently as they had

before the flood.

Electricity and water have been available in Bang Bua since 1985, but the

upgrading enabled the development of an improved system whereby each


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registered household now has a meter that monitors its consumption

(BBFGD1; Bang Bua focus group discussion; BB1, an elderly man; BB2, an

elderly woman; BB4, a middle-aged man) as shown in Figure 7.5.2a below.

Each household also has access to water and a drainage system. The main

water supply is a pipe 1.5 meters in diameter and 650 meters long. A sub-

water line one meter in diameter has been laid to reach the houses in the

back of the neighbourhood as shown in Figure 7.5.2b. The main drainage

system is 0.6 meters in diameter and 538 meters long. There is a smaller

sub-drain that runs through the back portion of the houses as shown in

Figure 7.5.2c. Each house has a septic tank that filers waste water before it

enters the canal, thereby reducing the neighbourhood’s pollution

footprint.

Figure 7.5.2a: Meters for water and electricity (right) monitor consumption for individual households. Source: the author


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Figure 7.5.2b: A map of Bang Bua Neighbourhood’s water supply shows the main pipe (indicated in solid green) is located on the canal side, and that smaller pipes (indicated in dotted green lines) have been laid to service houses further from the canal. Source: (Bang Bua neighbourhood, nd-b)


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Figure 7.5.2c: A map of Bang Bua Neighbourhood’s drainage system shows the primary drainage pipe (indicated in solid blue) is located along the canal, and that smaller pipes (indicated in dotted blue lines) have been laid to service houses further from the canal. Source: (Bang Bua Neighbourhood, nd-c)


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As a result of formalising land tenure, daily garbage collection services

have become available by a Bang Khen district government boat that

empties bins placed on a small jetty that extends from the canal sidewalk

(see Figure 7.5.2d). Residents are responsible for placing rubbish in one of

several central collection points. On a weekly basis the Bangkok

municipality clears the canal of weeds in order to improve the water flow

and reduce flood risk (see Figure 7.5.2e).

Figure 7.5.2d: The upgrading included a waste collection service by the district government. A government boat accesses the waste from a jetty. Source: the author


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Figure 7.5.2e: Weekly weed collection by the municipal government improves canal water flow. Source: the author

7.5.3 The role of the community centres

Bang Bua Neighbourhood has two community buildings – a library and a

community centre. The community centre was essential to coordination

and collaboration throughout the flood response. Donations for Bang Bua

Neighbourhood and the wider canal arrived at the community centre to be

sorted and shared. Flood response meetings were held at the community

centre throughout the three-month flood period. Furthermore, the

community centre was a place where information such as census data and

needs was stored and shared with response stakeholders.

Prior to the flood, the community centre was essential to the growth and

development of the economic and governance systems seen in the

neighbourhood today. The community centre is a large multi-purpose

building, funded partially by the community and partially by donations

from different organisations and individuals (KI20, a middle-aged woman).

It is located next to the main entranceway to the neighbourhood.

Residents pass the community centre on a regular basis, and are free to

use the garden and shrine located in the public open space that envelops

the immediate parameter. Figure 7.5.3a below indicates the community

centre is located next to the main entrance in blue.


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Figure 7.5.3a This map shows Bang Bua Neighbourhood’s community centre (blue) is located near the main entrance. Source: (Bang Bua Neighbourhood, nd-e)


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The community centree in Bang Bua Neighbourhood is the biggest and

most elaborate among the three neighbourhoods studied, so much so that

it serves as the Bang Bua Canal Network’s meeting location. The centre is a

two-storey building with the capacity to hold meetings for over 100 people

in the lower level and up to 30 people in an air-conditioned room on the

second storey. While the building is not yet finished, it has a small kitchen

and toilet with running water on the second floor, and is in the process of

building a large kitchen on the bottom level. The community centre is used

by livelihoods groups discussed at the plots layer such as a woman’s small

catering business and a youth group who use the rooftop to grow

vegetables to sell to local schools. It is also used by the Bang Bua

community network to host network meetings; by the community to

update savings group members; and by children who use it as a

playground. There is a plan to construct a nursery and a learning centre for

children on the bottom floor (BBFGD1). Construction for such projects

recommences when and as the neighbourhood can afford to expand.

The second community building, shown in Figure 7.5.3b below, is a public

library and is shared between Bang Bua Neighbourhood and its

neighbouring community, Roonmai Pattana. The library has been built by

the Bang Khen district authority as a pilot project. The district pays the

equivalent of a GBP 132 per month salary to staff the library on a full time

basis (Wungpatcharapon and Tovivich, 2012b). The library was not often

frequented by children while the research was carried out because

children were at school or seemed to prefer playing in the designated

open space next to the sacred Tamarind tree.


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Figure 7.5.3b: The façade of the public library in Bang Bua Neighbourhood (top) and the inside (bottom) showing a child friendly environment with books and table to read at. Source: the author

Having explained the influence of economic, governance and social CAS in

the building and services layer, several key dimensions of resilience can be

identified. Firstly, robust homes reduced vulnerability to floods and other

disaster risks. Secondly, the presence of welfare homes suggests strong

welfare values were acted upon through good governance mechanisms

and transparent savings groups at the plots layer. Thirdly, the

formalisation of the neighbourhood and its buildings resulted in an

improvement in the of quality services provided by the government such

as electricity and water. Fourthly, community buildings offered a place for


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neighbourhood collaboration, coordination and learning to take place. This

chapter will now explain how the dimensions of resilience identified at

different layers were validated.

7.6 Validating findings

As discussed in the morphological layers above, the relationship between

CAS systems and different morphological layers revealed key dimensions

of resilience within each layer. To test the validity of the dimensions, a

focus group discussion was held with 13 residents in order to ascertain

how strongly residents agreed or disagreed with the dimensions, and their

reasons for doing so. Testing for contradictory or confirmatory

observations (Eckstein, 2000) is important to ascertain the relevance of

findings. The dimensions identified at the end of each morphological layer

were shared in an FGD where neighbourhood participants were asked to

agree or disagree, sharing reasons why. As a result of the original analysis

and validation, four key conclusions stand out regarding Bang Bua

Neighbourhood, and are presented below.

Conclusion

This chapter aimed to identify CAS patterns of influence at different

morphological layers in order to establish dimensions of resilience before,

during and after the flood in Bang Bua Neighbourhood. The chapter began

with a neighbourhood profile of Bang Bua. It then analysed information in

four layers covering topography; movement networks and public open

spaces; plots; and buildings and services. From the original analysis and

validation through FGDs four key conclusions stand out.

Firstly, formalisation of the neighbourhood and its structures gave

residents an opportunity to invest in their homes, social relationships and

governance structures. When the flood struck, the neighbourhood had


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stronger homes that could withstand the floodwater. However, the

stronger homes were a symptom of a deeper cause of resilience, which

leads to the second point.

Secondly, Bang Bua Neighbourhood demonstrated that its economic

systems could support residents during a crisis and provide welfare during

periods of chronic stress. The emergency food kitchen and social welfare

homes for the elderly are two such examples. The livelihoods groups

organised before the flood gave some people supplementary income after

the flood, providing a slight financial cushion.

Thirdly, the process of reconstruction transformed Bang Bua’s social

identity from its core. Investment in social events provided an opportunity

for people to get to know one another. Problem solving chronic issues

such as pollution, poor quality housing, access to better livelihoods gave

people an opportunity to self organise, to connect and to participate in

causes that can directly benefit them in the short and long-term.

As the neighbourhood improved, a sense of pride in the changes grew.

Awards of recognition were given for exceptional achievements such as

waste management, which appeared to be as effective as offering a cash

incentive. The ability to self organise arguably reduced the social problems

in the neighbourhood because of the ability to adapt neighbourhood

economic and political structures to meet evolving needs.

Fourthly, transparent and accountable governance systems allowed the

neighbourhood to protect and grow its economic investments. For

example, the neighbourhood found it had a bigger political voice when it

negotiated a shortcut through a nearby military base. The leadership in

Bang Bua Neighbourhood is more decentralised than any of the other case

studies. Before the flood, sub-committee leaders participated in collecting


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and analysing neighborhood census date. During the flood this

transferable skill helped people’s needs to be met and ensured the

distribution of goods was carried out in a transparent and fair way. The

leader took personal risks by giving away property, which built trust

amongst residents. The leadership’s decentralised structure of involving

several layers of people at different levels of activities seems to contribute

towards Bang Bua Neighbourhood’s effective governance strategy.

Having discussed the dimensions of resilience and drawn key conclusions

in Bang Bua Neighbourhood, the next chapter will provide an analysis of

the second case study – Saphan Mai Neighbourhood.

Chapter eight: case study two – analysis of Saphan Mai

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Chapter eight Case study two – analysis of Saphan Mai Neighbourhood Introduction

This chapter seeks to understand how CAS systems influence and shape

different morphological layers in Saphan Mai before during and after the

2011 flood. It is similar to the last chapter where analysis of the specific

ways CAS influence different morphological layers in Bang Bua

Neighbourhood were analysed in order to identify dimensions of resilience

before, during and after the 2011 flood. At the end of each morphological

layer key dimensions of resilience in the second neighbourhood, Saphan

Mai, are identified.

The chapter starts with a profile of Saphan Mai Neighbourhood (known as

Saphan Mai from here on) to give the reader key background details. It

then moves to the topographical layer, reminding the reader that the

topographical analysis was conducted in Chapters Five and Six because

topographical analysis is most appropriate at a city scale. The chapter then

discusses the movement networks and public open spaces layer,

explaining the importance of mobility and its links to income generation.


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Public open spaces are then analysed to determine their value in flood and

non-flood times. Then, analysis of CAS patterns of influence at the plots

layer explains the importance of transparent financial mechanisms, the

flawed nature of Saphan Mai’s governance system and the social tensions

within the neighbourhood. Analysis of the buildings and services layer, is

then presented, identifying the buildings in Saphan Mai that were most

vulnerable to flooding and the types that experienced less flood damage.

Analysis is also carried out regarding Saphan Mai’s access to services and

how that shaped the neighbourhood’s resilience. The chapter then

explains the methodology undertaken for validating the dimensions of

resilience with residents in Saphan Mai.


As with the first case study in Chapter Seven, the methodological approach

for analysis of data from Saphan Mai consisted of two main methods:

morphological analysis and coding (through the use of NVivo software).

Coding through NVivo software was used to analyse key informant

interviews and focus group discussions. Meanwhile, information from

participant observation, transect walks, key informant interviews, and

participatory mapping was used to conduct a context analysis. At the end

of each day, observations were documented through journal writing.


Located in Lak Si District along the west side of the Bang Bua Canal,

Saphan Mai is one of the smallest neighbourhoods along the Bang Bua

Canal with 106 households located on land that is 235 meters in length

and approximately 25 meters in width. The group of houses became an

official neighbourhood in 2006 (SM9, an elderly man) when it registered

with the district government. During the time Saphan Mai registered as a

neighbourhood Lak Si district was encouraging houses in groups larger

than 100 to register as a formal neighbourhood. New neighbourhoods


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were then asked to elect a leader and a committee to govern the

neighbourhood so the district authority had a clear partner to work with

on its development aims (KI37, Lak Si District Authority).

The neighbourhood took approximately 14 years to reconstruct all of its

households through Baan Mankong. Part of this community did not trust

the upgrading process or the leadership that guided it, entrenching it in a

deadlock until the 2011 flood occurred. A total of 37 households were

interviewed for this research (meaning 35 per cent coverage of

households). The elected leader estimates that 35 per cent of people are

daily wage earners; 30 per cent motorcycle taxi drivers; 10 per cent

vendors; 10 per cent work at a shopping mall; 10 per cent are unemployed

and five per cent are business owners. Saphan Mai is a legally registered

cooperative and has a 90-year lease agreement on the land. Figure 8.1.a

below shows Saphan Mai in the process of re-blocking and reconstructing

the last phase of houses. Figure 8.1.b below shows a municipal building

use map with Saphan Mai indicated by a black dotted line.

Figure 8.1.a: Saphan Mai in the process of reblocking and reconstructing the last phase of houses. Source: the author


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Figure 8.1b: A municipal building use map shows Saphan Mai residential buildings in yellow. Saphan Mai neighbourhood is indicated by a black dotted line. Source: (Department of City Planning, 2014d)


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In preparing for the flood, the leader of Saphan Mai says the

neighbourhood was able to prepare food for 10 days, although external

assistance arrived within seven. The public announcement system was

used to warn people that the floods were coming. Residents were advised

to leave the area and live with relatives or friends, and to prioritise the

evacuation of the disabled, sick people and children. The savings group

offered to pay transportation fees for persons who needed to evacuate.

Residents were also advised to prepare food and shut off electricity. Help

was sought from a nearby monastery, from other neighbourhoods and

from the Bang Bua Network. Local aid agencies provided food and non-

food items. The leader relied on his personal networks and arranged for

friends to bring a pick-up truck of supplies from Roi Et, a city 500

kilometres away.

The main challenges faced in this neighbourhood were related to food and

toilets. After the floodwater receded, the biggest challenge raised by most

residents was making money to repair their homes, re-start their

livelihoods and send their children to school. Today, according to a

number of residents, the buying and selling of drugs is still the number one

problem in Saphan Mai (SM1, a middle-aged woman; SM2, a middle-aged

woman; SM3, an elderly woman; SM4, an elderly woman; SM 12, a

middle-aged woman; SM 14, a middle-aged woman; SM16, a middle-aged

woman;). While interviews were taking place, six police arrested an

accused drug dealer.

Having described Saphan Mai’s neighbourhood profile, this chapter will

now focus on the topography layer.


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8.2 Topography

Due to the small geographical area of the case study, analysis of the

topographical layer relating to Saphan Mai has already been covered in

Chapters Five and Six where the economic, governance and social

influences on the topography were explained in relation to the entire Bang

Bua Canal. Therefore, the movement networks and public open spaces will

be presented next for analysis.


After the flood, Saphan Mai expanded its road networks and invested in

the development of open public spaces after all residents in the

neighbourhood agreed to join the upgrading process. This section will

explain the transformation of roads and public open spaces, including

after the flood.

8.3.1 Road accessibility

There are three ways to access Saphan Mai. The first is by a wooden

bridge that connects the neighbourhood to a nearby highway as shown in

Figure 8.3.1a, and is accessed by pedestrians only. The second is through

an apartment parking lot into Saphan Mai as show in Figure 8.3.1b. The

third is around the back of the apartment block shown in Figure 8.3.1c.

Before the upgrading occurred, one main road ran through the centre of

the neighbourhood (as show in Figure 8.3.1d) with a collection of small,

squiggly footpaths used to access houses beyond the main road.


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Figure 8.3.1a: A wooden bridge from a main road offers pedestrian access to Saphan Mai. Source: the author

Figure 8.3.1b: One entrance to Saphan Mai through an apartment parking lot. Source: the author


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Figure 8.3.1c: A third entrance to Saphan Mai along the backside of an apartment block. Source: the author


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Figure 8.3.1d: There are three entrance points to Saphan Mai, starting with the bridge on the left, and two entrances through an apartment parking lot located in the centre of the map. Source: (Department of City Planning, 2014d)


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The roads in Saphan Mai were completely submerged with water during

the flood, and therefore transportation was primarily by boat. However,

after the flood some residents agreed to shift their plots, giving Saphan

Mai the opportunity to widen its main pedestrian lane and build several

secondary lanes to improve accessibility to houses.

Part of upgrading or ‘building back better’ after the flood meant expanding

the length of the main road as people agreed to move their houses and

change their plot shape and size. Smaller alleyways were introduced as the

plots of the neighbourhood aligned into rows. Today the primary

pedestrian lane is wide enough to accommodate a small motorcycle.

Neighbourhood residents say they will request the BMA to construct a

waterfront sidewalk like the one in Bang Bua Neighbourhood once the

demolition of canal-based housing is complete (SM9, an elderly male

engaged with leadership; SM22, an elderly male). The sidewalk can be

seen as a potential social connector because it was desired by all

interviewees, but for different reasons. One elderly woman wanted the

sidewalk because it would make the neighbourhood look ‘beautiful for

tourists’ (SM5, a young woman); others wanted it because it was scenic

and prestigious like Bang Bua (SM10, an elderly woman; SM22, and elderly

man; SM36, a young man); others expressed a perceived sense of reduced

risk to flooding because the government has promised to build a retaining

wall for the canal bank in addition to the sidewalk (SM14, a middle-aged

woman; SM9, an elderly male). A map of the primary pedestrian lane and

smaller alleyways is shown below in Figure 8.3.1e. Roads are indicated in

gray.


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Figure 8.3.1e: The main pedestrian lane runs through the centre of the neighbourhood, and is illustrated in gray. Although the map shows building use as recorded by the municipal government in 2009, the larger roads remain relatively unchanged. A more updated map was not available. (Department of City Planning, 2014d)


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There is only one public open space in Saphan Mai, and it was not used

during the flood because it was submerged. Instead, many of the

distributions and flood related activities were arranged from the leader’s

house at the centre of the neighbourhood (SM14, middle-aged woman;

SM1, middle-aged woman; SM11, elderly woman).

Some residents believed the use of the leader’s home for neighbourhood

activities suggested corruption (SM11, elderly woman) while others who

were more supportive of the leader felt it was an appropriate use of space

(SM14, middle-aged woman; SM1, middle-aged woman).

However, since before and after the flood, public open spaces were key

spaces for people to earn money, make political decisions and to socialise

in. The public open space is located at the centre of the neighbourhood,

and is a place that was designed for children to play in, much like the

space in Bang Bua Neighbourhood.

The new space offers children safety and protection away from the

apartment parking lot where they normally play. However, children do not

use the open space and continue to play in the parking lot for reasons

unknown to the adults interviewed. Instead, the space more frequently

hosts neighbourhood meetings by the savings group or more general

neighbourhood meetings such as the one picture below in Figure 8.3.2a.


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Figure 8.3.2a: A photo of public space located at the centre of Saphan Mai is used for a meeting between residents regarding a funding proposal to the district authority for development activities. Source: the author

Having discussed the influence of economic, governance and social CAS on

movement networks and public open spaces, several key dimensions of

resilience stand out. Firstly, from a governance perspective, the

neighbourhood was made safer after it invested in new pedestrian lanes

that made the neighbourhood more permeable, accommodating

economic and social activity.

Secondly, the central location of the public open spaces created space for

hosting social and governance activities. This chapter will now present

analysis of the key influences on the plots layer.


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8.4 Plots

Saphan Mai has been a legal cooperative renting land from the National

Treasury Department since 2009, which has been the largest incentive to

invest in the overall improvement of the neighbourhood and its plots.

Before the flood struck 61 houses had gone through the reconstruction

process. After the flood, an increase in trust in the governance system and

growth in social capital influenced newcomers to join Baan Mankong

(SM10, an elderly woman; SM14, a middle-aged woman).

Today, all residents of Saphan Mai lease four Rai of land (1.6 acres / 6,400

square meters) for 32,040 Baht (GBP 592) per year (SM9, an elderly man

involved in leadership). Each household pays 18 Baht (GBP 0.33) per

month, regardless of the size of their plot of land.

The plot structure of Saphan Mai rapidly changed when the upgrading was

set in motion in 2009. Some of the houses moved from the canal to the

landside, and some did not. The map in Figure 8.4a below shows the

neighbourhood before upgrading occurred. It identifies registered houses

in brown and non-registered houses in orange. It also shows houses

encroaching on the canal.

After the flood 45 houses joined the upgrading process. As of 2014 the

municipal government recorded building use as seen in Figure 8.4b

however (which follows Figure 8.4a) many of the houses have since moved

from the canal and re-organised on the landside.


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Figure 8.4a: A map of Saphan Mai before the upgrading process began. Source: (Saphan Mai, 2004)


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Figure 8.4b: building use as recorded by the municipal government in 20091. This map depicts more houses on the canal than are actually present. However, a newer map reflecting the current position of all the houses was not available.


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While development of the built environment has largely been achieved in

Saphan Mai, it appears that the social fabric has been negatively affected

in some places by the process. The neighbourhood is divided into two

groups, and one of the consequences has been a decreased capacity for

cooperation between the two. The conflict began with the introduction of

Baan Mankong. There are three reasons why people did not want to join

the programme. Firstly, some people were already happy with the

condition of their homes. One person interviewed said knocking her home

down would undo years of investment and improvement (SM10, an

elderly woman). Secondly, some people did not trust the leader because a

majority of the neighborhood is related to him, and supports his decisions

automatically.

Thirdly, others did not trust the Ban Mankong programme and the kind of

debt it built; some people had migrated to the canal specifically because

they did not have to pay for land or rent. Conflict also arose over how to

treat renters, although people who had been renting in the area for longer

than five years had the right to eventually own property (SM9, an elderly

man on the leadership committee; SM19, a young woman). A local

development worker from the area summarised the conflict as between a

‘feudalist leader and those that don’t want Baan Mankong because they

do not have the money to rebuild their homes’ (KI14, 2014, a local aid

worker). Approximately 17 families (16 per cent of the neighbourhood) did

not want to move ahead with the upgrading plans (SM9, KI14).

8.4.1 Savings structures

According to a local development worker (KI14), Saphan Mai was one of

the last neighbourhoods along the canal to set up a savings group due to

internal conflict and fear of debt. The savings group visited other

neighbourhoods in the network to learn good practice before the group

became active in 2009 (SM9, an elderly man; KI14, a aid worker). There


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are now 159 people in the savings group (SM9, an elderly man). The group

is governed by a committee of 11 people, half of who must be present in

order for a meeting to run. Loan requests must be submitted before the

20th of every month; the committee meets to discuss the requests on the

25th. When asked about the transparency of application approvals one

person said, ‘In this community everyone knows each other and who

needs help in what way’ (SM16, 2014, a middle-aged woman). It appears

there could be a better system for approving loans, such as establishing

clear criteria and publicly announcing successful applicants in the interest

of accountability.

During the flood, the economic savings structures that were set up

became a crucial element of survival. The neighbourhood savings group

purchased food and water and set up a neighbourhood kitchen.

Volunteers offered to cook, and residents from Saphan Mai and its

surrounding areas accessed the kitchen (SM9, an elderly man). A

government party also set up a food kitchen on a highway bridge near to

Saphan Mai (SM22, an elderly man).

Residents stressed that access to loans after the flood was key to

restarting their jobs. One key informant from the leadership committee

said 30-40 people borrowed money from the savings group at a reduced

rate of five per cent instead of eight. The same person estimated that

approximately 20 per cent of people seeking loans used a ‘Muslim loan

shark’ that offered a rate of 20 per cent interest and that the others used a

motorcycle mafia group offering loans at 24 per cent with a history of

violence in response to unpaid loans (SM9, an elderly man). People who

did not get access to government grants for home repairs were especially

financially vulnerable, requiring money to fix their homes, pay school fees

and restart their livelihoods.


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While 45 homes were upgraded after the floods, residents did not report

the start up of new livelihood groups like those formed in Bang Bua

Neighbourhood during reconstruction. Income earning potential did not

appear to increase with the re-blocking of plots and the reconstruction of

houses as paid labourers did most of the reconstruction. In comparison to

Bang Bua Neighbourhood, Saphan Mai residents have not taken the same

opportunity to upgrade individual skill sets or form groups in the interest

of better economic earning power. A large number of people continue to

have a limited ability to meet basic needs due to low paying jobs (SM12, a

middle-aged woman; SM11, an elderly woman).

8.4.2 Governance structure

Neighbourhood governance structures set up during the upgrading guided

the flood response and the way in which resources were shared amongst

residents. For the most part, residents felt the resources were shared

equitably, and that the systems for sharing instilled newfound trust, so

much so that one woman said that after witnessing the selflessness of the

leadership she joined Baan Mankong because she trusted the leader (SM6,

a young woman). Most residents interviewed stated that donations were

announced on a public loud speaker before they took place. When the

location changed, many said notifications were made. However, a small

minority of people who were displeased with the leadership before the

flood said they were unhappy with the way the donations were handled

(SM10, elderly woman; SM11, elderly woman; SM12, middle-aged

woman). The women reported that the neighbourhood leadership

announced distributions late at night, requiring people to wade in deep

water in the dark, giving an unfair advantage to people unable or unwilling

to do so until daylight.

Much can be said about the governance structures contributing towards

the capacity for conflict in Saphan Mai. To begin with one family holds


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some of the most crucial leadership roles within the governance structure.

While the elected committee and the Baan Mankong committee are two

entirely different structures, the same people are involved in strategic

leadership positions in both. The leader of the Baan Mankong upgrading

programme is married to the elected leader. Both were the first to take on

their respective positions and are still the leaders today. In addition, the

accountant for both committees is the daughter of the married leaders.

The disenfranchised group of people in Saphan Mai say it is relatives and

friends that keep the current team in power, and that the group of people

who do not hold the same opinions as the leadership has been silenced

(SM5, a young woman; SM10, an elderly woman; SM22, an elderly man;

SM36, a young man). One development worker from the area confirmed

that power rests with the Baan Mankong leader who grew up in Saphan

Mai and ‘therefore has more connections, power and votes from relatives’

(KI14, 2014). Figure 8.4.2a presents a diagram that represents the

governance structure in Saphan Mai that creates conflicts of interest.

Figure 8.4.2a: A diagrammatic representation of the overlaps between a husband, wife and daughter who hold key leadership positions in Saphan Mai. Source: the author


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According to one local aid worker key informant, the previous governance

structure was uprooted when the Baan Mankong programme started

(KI14). When asked about the history of the power dynamics in Saphan

Mai, the aid worker said, ‘Before Baan Mankong there was another

organisation doing work there [Saphan Mai]. Then Baan Mankong came

and set up a new structure with a new person in power’ (KI14, 2014).

8.4.3 Fluidity of social tensions

The disaster became an opportunity for two disparate groups to work

together towards a single cause: survival. One middle-aged woman spoke

about how people became more ‘connected’ and had the chance to get to

know each other because they were all in the same dire situation (SM1, a

middle-aged woman). A spirit of volunteerism and sharing was essential to

well-being as expressed by one middle-aged woman who had been against

the upgrading process for years and changed her mind after the flood.

She said, ‘Flooding taught me so many things. Money didn’t help me get

food or friends, but friends shared their food, sadness and happiness.

Living with other people during the flood made me realise I could share

and sacrifice things like the area around my house’ (SM6, 2014). People

who could not cope with the flood at home moved to evacuation centres

at a nearby temple and to Don Meuang airport, among other places.

Families in extreme poverty said they relied upon loans from friends and

employers as well as food donations from the nearby temple in crisis and

non-crisis times (SM12, an middle-aged woman).

Before and after the flood, social divisions were apparent from a spatial

perspective. Those closest to the open spaces at the centre of the

neighbourhood are supporters of the current leadership. The houses at

the back of the community bordering Saphan Mai II, a different


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neighbourhood, are home to families in opposition of the current

leadership. Disenfranchised by the upgrading process, one long-term

resident of Saphan Mai claimed that while the physical façade of the

neighbourhood has improved, key relationships remain broken, a root

cause of much of the social tension. The middle-aged woman said, ‘some

of the houses changed after the flood. People had to rebuild parts of their

houses; sometimes their whole house, but the same old issues and

personalities remain. Some people do not have very giving hearts’ (SM16,

2014). In summary, the 17 houses that opposed Baan Mankong were

faced with an ultimatum: to leave if they could not afford to participate or

begin to trust the process if they wanted to stay. One elderly man from

the leadership committee said, ‘in a way the co-operative forced people to

join: the cooperative sued people who don’t join because they were

trespassing. We threatened with action but in the end didn’t do it

because we were able to settle through mediation’ (SM9, 2014).

Therefore, after the flood, everyone in Saphan Mai began working

together through participation in a savings group and a cooperative.

However, conflict between Baan Mankong and non-Baan Mankong

supporters remains. After the flood, it appears that social capital and trust

increased for the 80 per cent who support the current leadership while

approximately 20 per cent languishes in complaints about corruption and

transparency, particularly during the flood.

The plots layer explained the ways in which economic, governance and

social CAS influenced changes in the built and natural environment at the

scale of the plot. Based on the discussion it can be concluded that there

are four key dimensions of resilience. The first is the presence of Saphan

Mai’s secure land tenure, which has created stabile conditions for

individuals to invest in neighbourhood infrastructure and systems.


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The second is Saphan Mai’s moderately effective savings group, which

struggled with transparency and accountability for many years before it

became functional. The third driver is Saphan Mai’s moderately effective

governance mechanism, which is built upon conflict of interests.

The fourth is Saphan Mai’s limited ability to self-organise due to social

tensions arising between the upgrading group and the opposition to it.

The next layer will present analysis of the ways in which CAS transformed

buildings and services in Saphan Mai.


The flood interrupted existing tensions and processes within the

neighbourhood. Ultimately, homes that did not participate in the

upgrading process were most affected by the flood, demonstrating the

long-term economic tradeoffs of upgrading physical infrastructure with

the shorter-term financial burden of reconstruction.

8.5.1 Strong homes versus vulnerable homes

The homes most vulnerable to the impact of the flood were built of

inexpensive, locally available materials that are climatically responsive to

hot weather. Many such houses are built on wooden stilts on the canal.

When the flood occurred, the stilts holding up the houses sunk and the

wooden floorboards, walls and doors were water logged and rotted after

being immersed in floodwater for three months.

Canal-based houses were most often single storey, reducing the space for

storing valuables out of the reach of the floodwater. Figure 8.5.1a shows

an example of a vulnerable single storey wooden home built on stilts in

Saphan Mai.


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Figure 8.5.1a: A single storey wooden home built on stilts in Saphan Mai neighbourhood. This type of housing is vulnerable to flooding. Source: the author

Homes less vulnerable to flooding were constructed from a mix of

concrete, wood and brick with two stories as shown in Figure 8.5.1b.

Before the flood struck, 65 such homes were built.

The new houses typically have shingled roofs. Many of the houses in

Saphan Mai do not have outdoor terraces due to space restrictions; those

that do have noticeably smaller ones (Figure 8.5.1b).

Many of the homes have worship shrines connected to them. The

reconstruction of all the houses in the neighbourhood began in 2009 and

by 2014 construction of the last seven homes was underway.


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Figure 8.5.1b: Homes less vulnerable to the floods were the ones that were constructed from a mix of concrete, wood and brick as shown in the photo of a house frame on the left. Less vulnerable homes have two stories as shown in the photo on the right. Source: the author

After the flood 45 houses were reconstructed. Some of the residents

chose to participate in the upgrading because they saw the long-term

economic gains of investing in a robust home (SM14, a middle-aged

woman; SM16, a middle-aged woman; SM20, a young woman). For others,

the ultimatum from the cooperative forced them to invest if they wanted

to stay in Saphan Mai (SM9, an elderly man).

The smallest house offered by the Baan Mankong programme is 3 x 7

meters; the largest is a duplex of 3.5 x 9 meters, which is often co-owned.

Loans over 300,000 Baht (GBP 5547) per house are not granted by CODI.

Table 8.5.1a shows the yearly and daily cost of a loan in relation to the size

of a house in Saphan Mai.

Size Cost in Baht Total Cost GBP

Yearly Cost Daily Cost

3 x 7 162, 171 Baht

£2,999.00 £200.00 £0.55

3 x 9 186,763 Baht £3,454.00 £230.00 £0.63

3.5 x 9 400,262 Baht £7,401.00 £493.00 £1.35

Table 8.5.1a: Housing sizes and costs in Saphan Mai. Loans are calculated to a 15-year period. Source: the author


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During the flood, houses with two storeys had access to a basic level of

electricity and running water. However, most houses were unable to use

their toilets. Four portable toilets were donated by BMA, but were not

used much because no one was responsible for cleaning them (SM 22, an

elderly man).

Black bags were used to store human waste and then thrown into the

canal because waste removal services halted for three months. Drinking

water was donated or purchased from the store. Some of the smaller

shops nearby ran out of supplies. Larger grocery stores still carried bottled

water but the journey there was often difficult, expensive and time

consuming (SM2, a middle-aged woman).

However, access to services such as electricity and water was not an issue

before the flood or after. Running water came to Saphan Mai in 2002 after

an arrangement was made with politicians who promised the service

would be provided to the area if they won office (SM9, an elderly man).

Before that time people used water from the canal or purchased it (SM9,

an elderly man). Today, drinking water is purchased, either from stores or

from a vending machine located at the centre of the neighbourhood.

Wealthier individuals own their own washing machines, refrigerators and

air conditioners.

According to a member of the leadership committee, Saphan Mai has had

access to electricity since 1974 (SM9, an elderly male). Due to the fact that

all the homes in the neighbourhood are now registered, they therefore

have the legal right to access water and electricity. Each house is equipped

with its own meter. Sewerage tanks (as shown in Figure 8.5.2a) have been

installed in the new homes, regulating sanitation practices and therefore

reducing the amount of pollution entering the canal. The district


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government collects rubbish from communal bins on a weekly basis.

Figure 8.5.2b shows the rubbish collection point next to the tent in the

public open space at the centre of the neighbourhood.

Figure 8.5.2a: Sewerage tanks pictured in front of the community building are fitted into the newly reconstructed homes. Source: the author

Figure 8.5.2b: A rubbish collection point next to the tent at the centre of the neighbourhood. Source: the author


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8.5.3 Access to community centres

There are two community centres in Saphan Mai. Neither was used during

the flood as a central hub for response activities, perhaps because they

were not possible to reach by vehicle. The way in which the first

community centre was used after the flood further reflects the social

divisions within the neighbourhood.

The community centre is indeed used for community activities, but by a

selective group of people who manage the administrative side of the

upgrading and neighbourhood development work, making the usage of

the building seem exclusive. The building is dual purpose. Saphan Mai

residents refer to it as ‘the office’, however the neighbourhood received

donations of 100,000 Baht (GBP 1,849) from World Vision Thailand, a

national NGO, to build a health centre (KI17, a local aid worker). The

district government contributed 150,000 Baht (GBP 2,774) to build a

community centre (KI34, a person in a neighbourhood leadership role).

The two-storey concrete building has a chain link fence around its

perimeter and a locked gate. Inside it hosts three desks, two computers

and paperwork related the upgrading. The upstairs area of the building is

used to store goods because it is too hot to use as a workspace during the

day without air conditioning, which is not installed.

At the time of research an elderly woman was living on the top floor for

several months while she awaited the completion of her new home. The

courtyard inside the compound is approximately three meters by four

meters and at the time of research was storing equipment for the

reconstruction of the seven remaining homes.


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Figure 8.5.3a: A two-storey community building where administrative work takes place. Source: the author

The second community centre (shown in Figure 8.5.3b) is a tented area

situated next to the open public space where meetings are held. The tent

was donated by World Vision Thailand, and provides a respite from the

sun. However, a member of the leader’s extended family, for personal

economic gain, appears to have appropriated the space by setting up a

permanent food stand with two tables to serve customers as shown in

Figure 8.5.3c. A chain and lock is used to close the space when the food

stand owner is not present. Motorised toys belonging to the leader’s

toddler grandchild are also stored in the area when it is locked up. When

different key informants were asked what the intended use of the tent

space was, several different answers were given.

A key informant from an NGO working in the area said (KI17) said the

space was for neighbourhood gatherings and activities; a relative of the

leader’s family (SM8, elderly woman) said the was space for households to

park their motorcycles (although no evidence of this was observed by the

researcher); others said the space was claimed by a relative of the leader

who set up a food stall to earn money (SM6, a young woman; SM10, an


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elderly woman; SM11, an elderly woman; SM16, a middle-aged woman).

The misappropriation of space has created a sense of mistrust and

suspicion for some residents unrelated to the leader, and is part of the

reason some residents delayed their participation in the Baan Mankong

upgrading.

Figure 8.5.3b: A view of the World Vision Thailand tent intended to be used as a community building but is instead host to a food stall for personal economic gain. Source: the author

Figure 8.5.3c: Saphan Mai residents frequent the food stall that is set up in an area designed as a community building. Source: the author


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Having explained the influence of economic, governance and social CAS in

the building and services layer, several key dimensions of resilience can be

identified. Firstly, only some of the housing was flood resistant. Many

people evacuated their homes in order to find adequate shelter and

access to services during the flood. Secondly, the community building use

was not equitable with exclusive access given to office space for

neighbourhood committee personnel.

The people in power limited economic opportunities arising from building

use to those who were relatives or friends. Thirdly, the inequitable use of

space created tensions within the neighbourhood limiting growth of social

capital. The next section will explain how the dimensions of resilience

identified at different layers were validated.


The dimensions that were identified at the different morphological layers

of Saphan Mai were validated with eight neighbourhood residents in a

focus group discussion.

The discussion assisted to clarify which of the dimensions within the CAS

were the most influential before, during and after the flood in Saphan Mai.

A statement about the dimensions was read out loud, and residents were

asked to agree or disagree with the statement and provide reasons for

their perceptions. The discussion validated the dimensions and higher

level concepts under discussion. Key conclusions regarding resilience in

Saphan Mai will be presented next in the conclusions section below.


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Conclusion

This chapter aimed to identify dimensions of resilience at different

morphological layers based upon patterns of influence formed by CAS

within each layer. Analysis was conducted before, during and after the

flood struck Saphan Mai in order to account for the specific details within

the complex inter-dependent and overlapping relationships between

systems and morphology.

To begin with the chapter gave a neighbourhood profile of Saphan Mai. It

then explained that topographical information about Saphan Mai was

already explained in Chapters Five and Six and was therefore not included

in this analysis to avoid duplication. The chapter then presented analysis

of the movement networks and public open spaces layer; the plots layer;

and the buildings and services layer. A synthesis of the original analysis

and the feedback from the validation process can be summarised in four

key points.

Firstly, the flood interrupted existing tensions and upgrading processes in

Saphan Mai, offering an opportunity to test economic and governance

structures with a development focus in a time of crisis. Overall, these

mechanisms worked well. The savings group was essential during the flood

by setting up a food kitchen and after the flood by providing access to

loans with lower rates due to the crisis. The governance mechanisms were

also adapted to meet crisis needs. Most people in Saphan Mai felt

donations were share equitably and succeeded in building trust.

Secondly, while the built environment has become physically less

vulnerable with the incremental upgrading, tears in the social fabric

prevent the entire neighbourhood from developing to its fullest capacity.

When the cooperative gave the opposing households an ultimatum to

participate or leave they set up a structure for reluctant participation to


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occur. People who oppose the upgrading or dislike the leader are unlikely

to participate in neighbourhood scale activities.

Thirdly, the use of public open spaces and community buildings explains

the monopoly of power the leadership committee has on the

neighbourhood. The governance structures also support this finding due

to the conflict of interests of a husband, wife and daughter holding key

positions of power.

Fourthly, the most vulnerable homes were the ones that were not

upgraded. The legitimate right to occupy the land meant households were

more willing to invest in high quality infrastructure that improves the

overall livability and well-being of the neighbourhood by adding public

open spaces, community buildings and stronger homes.

Chapter nine: case study three – analysis of Roi Krong

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Chapter nine Case study three – analysis of Roi Krong neighbourhood

Introduction

This chapter analyses the specific ways in which economic, governance

and social CAS influence four different morphological layers in order to

establish dimensions of resilience before, during and after the flood in Roi

Krong Neighbourhood.

To do this, the chapter begins with a neighbourhood profile of Roi Krong,

giving background to the neighbourhood. It then moves to the topography

layer, reminding the reader that topographical analysis was conducted in

Chapters Five (everyday risks) and Six (the impact of the 2011 flood). It

then discusses the movement networks and public open spaces layer,

explaining the economic and social opportunities that roads and open

spaces created and the dimensions of resilience that can be observed.

Interrogation at the plots layer explains the dimensions of resilience seen


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in the relationships between economic, governance and social systems.

Meanwhile, the buildings and services layer explains building usage and

access to services, highlighting how conflict over Baan Mankong has

shaped the buildings in the neighborhood. Finally, this chapter explains

how the key findings were tested with residents of Roi Krong to validate

the key dimensions of resilience identified in each layer.


This chapter uses the same methodological approach for analysis as was

used in Bang Bua Neighbourhood and Saphan Mai. The methodological

approach in Roi Krong Neighbourhood consisted of two methods:

morphological analysis and coding (through the use of NVivo software).

Maps with information about building use were the primary morphological

tools used for Roi Krong. NVivo software was used to code analysis from

key informant interviews and focus group discussions. Further information

for coding was gathered through participant observation, key informant

interviews and transect walks. Journal writing was used as a method for

documenting observations and drawing connections between key themes.


Roi Krong is a Neighbourhood that developed under an eight lane highway

and bridge; the neighbourhood runs adjacent to the highway, parallel to

the canal. According to the elected leader, Roi Krong has 135 houses (125

registered and 10 unregistered) living on eight Rai (1.28 hectares or 3.2

acres) of land. It is 150 meters long and 25 meters wide, double the size of

Saphan Mai with only 20 more households. In 1986 the neighbourhood

was formally registered with the Bang Khen district government, according

to the leader of the Baan Mankong programme who has been living in the

area for almost 60 years. A total of 28 households were interviewed,

equating to approximately 22 per cent of the neighbourhood. Based on


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direct observation of the houses and assets inside the homes, Roi Krong

has more affluent families than Bang Bua and Saphan Mai. The elected

leader estimates that approximately 50 per cent of the residents are daily

wage earners working as vendors or labourers; 30 per cent work in office

jobs and 10 per cent in governmental positions. Roi Krong is a

neighborhood divided between those who participate in the Baan

Mankong upgrading scheme (approximately 40 per cent) and those who

oppose it (approximately 60 per cent).

Figure 9.1a below is a photograph of Roi Krong. Low quality homes on the

canal block the view of more affluent homes built on the landside of the

neighbourhood. Figure 9.1b is a building use map that shows Roi Krong’s

location along the canal perpendicular to the main highway.

Figure 9.1.a: Roi Krong neighbourhood (left). Low quality homes on the canal block the view of more affluent homes built on the landside of the neighbourhood. Source: the author


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Figure 9.1b: A building use map that shows Roi Krong’s location along the canal perpendicular to the main highway. Source: (Department of City Planning, 2014d)

When the 2011 flood occurred, the floodwaters came at a gradual and

steady pace. The leader of Baan Mankong had joined the Bang Bua Canal

Network trip to the north to learn about flood preparedness and response.

In a separate event, the elected leader in Roi Krong also volunteered in the

north for flood response activities through his political affiliation. News of

the flood came by word of mouth as well as from the TV and radio

because Roi Krong’s public announcement speaker was not working.


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Advice was given to prepare by stocking up on food and water, which was

a challenge for people living day to day and could not afford to stock

items. More people evacuated from Roi Krong than in the other two case

studies. However, like the other two case studies, food, sanitation and

unemployment were three of the biggest challenges during the flood.

Having described Roi Krong’s neighbourhood profile and key aspects of

the flood, an explanation of the topography layer will be provided next.

9.2 Topography

As stated in case one and case two, analysis of the topography layer was

conducted in Chapters Five (covering everyday risk) and Six (covering the

impact of the flood), and therefore will not be included in this chapter.

Next, an explanation of the transformation of movement networks and

public open spaces in Roi Krong is provided.


All of the lanes and public spaces in Roi Krong flooded. People primarily

used boats to get around, and as a last resort waded through the water by

foot using the neighborhood lane network. The state of the lanes and

public spaces before the flood offers insights into a neighborhood conflict

over Baan Mankong’s upgrading, which is much more entrenched than the

one in Saphan Mai. Changes in the use of public open space suggest that

since the flood each side has became further intent upon not engaging

with the other.

9.3.1 Movement networks

Roi Krong has one narrow pedestrian lane that runs through the centre of

it as shown in Figure 9.3.1a. The lane is wide enough to accommodate a

small motorcycle. Several smaller alleys have been created in one pocket

of the neighbourhood where re-blocking has occurred. Those who


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participate in the upgrading programme would like to see a pedestrian

lane built on the canal bank as has been done in Bang Bua Neighbourhood

and is currently being undertaken in Saphan Mai, however houses on the

canal prevent such infrastructure from being built. There are three

entrances to Roi Krong as shown in in a map in Figure 9.3.1b. The first is

from Chaeng Watthana highway, the second via a bridge in the middle of

the canal, and a third from the Rajabhat university campus. There has

been very little change in the road system since it first came into

existence. An eight lane highway that narrows into a four lane bridge is the

entrance of Roi Krong (see Figures 9.3.1c and 9.3.1d) .

Figure 9.3.1a: Roi Krong has one narrow pedestrian lane that runs through the centre of it as shown in the photo above. Source: the author


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Figure 9.3.1b: There are three pedestrian entrances to Roi Krong as shown in the building use map of Roi Krong above. Source: (Department of City Planning, 2014d)


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Figure 9.3.1c: An eight-lane highway is the primary entrance to Roi Krong. Source: the author

Figure 9.3.1d: Access to Roi Krong is gained through a narrow lane that runs parallel to the bridge incline. Source: the author


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Under the bridge incline there is a pocket of open space used for

socialising and income generation. Stands selling vegetables, shoes and

other merchandise experience heavy footfall due to residential homes to

the left and right of the bridge (see Figures 9.3.2a and 9.3.2b). Directly

underneath the bridge is a space where people gather to drink alcohol and

play cards (Figure 9.3.2c). However, safety and security became a concern

when the narrowest point of the bridge incline began to host drug users

and homeless people seeking shelter for the night (RK13, an elderly

woman). The Bang Khen district government has put up a mesh wire fence

to prevent people from occupying the space under the bridge incline (see

Figure 9.3.2d).

Figure 9.3.2a: A view to the left of the bridge of the fruits and vegetables stands that are hosted in the open public space within the movement network in Roi Krong. Source: the author


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Figure 9.3.2b: A view to the right of the bridge of the fruits and vegetables stands that are hosted in the open public space within the movement network in Roi Krong. Source: the author

Figure 9.3.2c: The space under the narrow incline of the bridge is used for storing goods and socialising in Roi Krong. Source: the author


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Figure 9.3.2d: A mesh wire fence has been put up to prevent homeless people and drug users from accessing the public open space in Roi Krong. Source: the author

Having explained the use of movement networks and public open spaces

in Roi Krong several dimensions of resilience can be identified. Firstly, a

road network with narrow pedestrian lanes that do not permeate the

neighbourhood contributes to a lack of safety. Secondly, narrow lanes

limit space for socialising and economic activity. Furthermore, the

presence of public open space presents opportunities for small-scale

businesses and social gatherings to take place. The fourth dimension

identified is that the quality of the public open spaces influences the level

of safety within those spaces driven by the types of activities carried out –

such as drug use and drinking. This chapter will now present analysis of

the dimensions of resilience within the plots layer.

9.4 Plots

Roi Krong spans an estimated 25 meters from the canal to the property

line it shares with Rajabhat University. Within that space exists two rows

of houses and a pedestrian lane. Generally speaking, the plot

arrangements in Roi Krong achieve more privacy than Bang Bua


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Neighbourhood and Saphan Mai due to taller fences made of concrete or

closely slated wood, providing maximum privacy. Plots that cannot afford

such expensive boundary indicators have used corrugated iron, bamboo

sticks or rope to outline private property as shown in the photos in Figure

9.4a below. Behind the gates and fences, many homes have a terrace or a

private outdoor open space. Those on the canal have a terrace facing the

water and those on the land have built their terrace looking onto the

pedestrian lane, facing the canal based homes.

Figure 9.4a: The blue cement fence (left) and the corrugated iron fence (right) are examples of the fences that surround outdoor living space in Roi Krong. Source: the author

Land tenure has not been secured in Roi Krong. Figure 9.4b below is a map

that shows the current layout of the plots, indicating registered and

unregistered houses. Residents have not been able to work through Baan

Mankong or their own mechanisms to reach a consensus about renting

the land. Conflict exists around the ways in which the land should be

shared and redistributed. At the core of the land disputes are complex

economic, governance and social dynamics, which are explained in this

layer.


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Figure 9.4b shows a map of the current layout of the plots, indicating registered (brown) and unregistered (orange) houses. Source: (Roi Krong Neighbourhood, nd)


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9.4.1 Parallel governance systems

The flood highlighted two governance systems operating in parallel. Both

structures sought to achieve the same goal of survival but chose different

approaches. Within each system people reported that the flood gave them

a chance to bond, build relationships and prove they could work together.

For example, several people interviewed described sharing food, with

people who belonged to either the elected leader and his supporters or to

the Baan Mankong group. The Roi Krong’s Baan Mankong group was

highly dependent on the larger Bang Bua Canal Network for assisting with

procuring food and non-food survival items. Their savings mechanism was

not strong enough to support the neighbourhood on its own, and

therefore they relied on the larger canal network’s social safety net.

The flood gave the newest form of leadership – Baan Mankong – an

opportunity to prove it was competent, efficient and trustworthy to the

entire neighbourhood. One middle-aged woman from the upgrading group

said, ‘I had never experienced helping people in this way. We loved each

other a lot during that time and helped one another. People who were

quarrelling stopped their quarrels and put them aside during the flood. I

think the flood created bonds, but we were very stressed when the water

receded’ (RK27, 2014). Through skills training and networking, Baan

Mankong also empowered individual people who had had never held any

formal leadership role to step into leadership positions. For example, the

leader of Baan Mankong reflected that during the floods she, ‘felt so

proud, so appreciated. God damn it, no one knew me in the past or

respected me! They thought I’m an uneducated woman but then saw all I

was capable of. I went to the police office and got unemployed people

food and supplies even after the floods were over. I took everything, no

matter how little I was offered’.


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Disagreement between the leaders about how survival items should be

distributed was noted. The elected leader during the flood is different to

the elected leader at present. Many people felt the flood exposed the

previously elected leader as corrupt and voted in a new person (RK13, an

elderly woman; RK14, an elderly woman; RK25, an elderly woman; RK27,

an elderly woman; RK28, and middle-aged man). The current elected

leader felt it was important to distribute supplies directly through

neighbourhood leaders because they are familiar with the neighbourhood

demographics and will ensure people do not get double. Meanwhile, the

Baan Mankong leader felt sending donations through a network like Baan

Mankong was better because it allowed the pooling of resources and

contacts and the division of supplies when there is not enough for

everyone.

9.4.2 Social obstacles within the savings group

Financial benefit from ‘owning’ land and buildings is the primary source of

conflict in Roi Krong. While people do not own the land, they view

themselves as owners or informal custodians. According to the elected

leader, the social composition of the neighbourhood is such that

approximately 30 per cent are renters; 30 per cent belong to a more

affluent category and 40 per cent can be considered urban poor. While

poorer people in the neighbourhood have mobilised to create a financial

structure to help them better survive chronic stresses and shocks through

Baan Mankong, approximately 60 per cent of the neighbourhood felt it

would be financially harmed by the savings programme, which aimed to

change ownership of plots and buildings. Therefore, the savings group was

too small and undersubscribed to be an effective financial mechanism for

renting the land before the flood and for providing a high level of financial

security during the flood. As a consequence, both governance structures

described passively awaiting donations more frequently than they would


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have liked, unlike Bang Bua and Saphan Mai who were active in seeking

and managing resources.

The heterogeneity of income levels in Roi Krong meant that using

economic mechanisms as the primary method of engaging disparate

groups did not work as an incentive for cooperation for the majority of the

neighbourhood. Moreover, not unlike concerns aired by poorer urban

people in case one and two, some of the most economically vulnerable

believed they could not afford debt or were not comfortable with the idea

of it. An additional obstacle to the success of the savings group is social

vulnerability. For example, drug use is a widespread problem in the canal.

One opponent of the upgrading (RK16, a middle-aged woman) said she

moved to the neighbourhood because it was free to build her house, and

worried that future generations would not be able to repay housing loans

due to financial drains like drug addiction. She (RK16, 2014) said, ‘Looking

ahead, what if parents join with children who are hooked on drugs? How

will the children pay off the loan if their parents die? It’s better not to risk

losing the house.’

Meanwhile, others perceived the upgrading governance structure as

legally risky. Another middle-aged woman (RK15) who works as

housecleaner expressed concern over being embroiled in a legal battle, an

unacceptable risk for her. She said, ‘There are 14 people in Bang Bua

getting sued because they’ve defaulted on their loans. People here cannot

afford to participate in Baan Mankong’ (RK15, 2014). According to

information shared by the Bang Bua leadership committee there are four

people being sued, all of whom allegedly work in the drug trade. The

concerns expressed above by people who are currently not participating in

Baan Mankong reflect that economic and social vulnerability are factors

that prevent the savings group from succeeding in Roi Krong.


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9.4.3 Land conflict

While the flood improved intra-social relations within each group, conflict

over land remains at the root of genuine change at a neighborhood scale.

As one middle-aged woman observed, ‘after the (2004 Asian) tsunami,

people helped entire communities to rebuild. It’s too bad that couldn’t

happen here to really change things for the better. Instead, the floods left

us with a mess and no money to clear it up’ (RK27, 2014).

Those who support Baan Mankong in Roi Krong tend to be people who are

low-income earners, have poor quality houses, live on the canal and work

as daily wage earners. This demographic is poised to gain the most

through the upgrading programme: quality housing, reduced risk of

flooding, and potentially new skills such as financial management and

construction. One small block of houses has been able to negotiate space

in order to carry out complete reconstruction of 25 houses (RK27, middle-

aged woman). One middle-aged woman (RK16, a middle-aged woman)

contends that success was based on a group of relatives working together

to share a common space, indicating the social dynamics in this

neighbourhood are strongest between relatives. For those who could not

negotiate reconstruction, the second best option for building the physical

resilience of their homes was to access loans to repair weak infrastructure

(RK8, a middle aged man). A total of 12 houses used the loans to repair

existing structures (RK27, middle-aged woman).

Meanwhile, according to residents from the neighbourhood, those who

oppose the upgrading programme are often more affluent and tend to

have more influence and power (RK17, a middle-aged woman; RK22, an

elderly man; RK23, an elderly man; RK28, a middle-aged man; RK29, an

elderly man; RK30, an elderly man; RK32, a middle-aged woman). More

affluent people are described as working in office jobs for the government

or as landlords within the neighbourhood. The most active opponents to


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Baan Mankong appear to be on the elected committee, operating

separately to the Baan Mankong committee. The elected committee

members take regular social trips together (RK13, an elderly woman),

affording them the opportunity to bond but further isolating the group

from the Baan Mankong committee. Other active opponents to the

upgrading are those who have invested in strong, robust homes over the

years and do not want their investments to go to waste. One middle-age

woman said that as the owner of an expensive home, she felt the potential

loss of years of investment was unacceptable: ‘If you join Baan Mankong

you have to rebuild your house, but if you already have a good house,

what’s the point of going into debt and rebuilding it again?’ (RK17).

A low level of trust amongst residents was also apparent when another

middle-aged woman, who described herself as neither rich nor powerful,

but ardent in her opposition to Baan Mankong, said she believes the

programme is corrupt and does not negotiate with all parties involved in

the process: ‘The committee is not honest. People don’t get real benefits.

People don’t cooperate with Baan Mankong because it tries to tell people

where to live and where not to live’ (RK11, 2014). Such comments suggest

that improving the physical resilience of the neighbourhood is taking place

at a social cost. Moreover, some feel that economic vulnerability should

be prioritised over the physical vulnerability of houses. One such elderly

woman observed that: ‘people here need better jobs, need someone to

teach them to make a living, how to pay loans’ (RK13, 2014). The same

elderly woman asserted that the neighbourhood needs ‘community

dialogue and to really understand what they are signing up for and if they

can really afford it’ (RK13, 2014). Analysis of activities at the plots layer

points to a gap in communication, trust and a disagreement over

prioritisation of development activities as potential reasons the Baan

Mankong methodology is not working well in Roi Krong.


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The analysis at the plots layer identified several dimensions of resilience

based on the overlapping and interdependent CAS relationships and their

influence on the layer. Firstly, while land tenure was not secured in Roi

Krong, the security of tenure in neighbourhoods located up and

downstream from Roi Krong seems to have reduced the risk of eviction for

Roi Krong. Secondly, even though conflict exists in the neighbourhood,

power is shared and parallel governance systems appear to operate in a

healthy and democratic environment. Thirdly, economic and social factors

have limited the success of the savings group through fear of participation.

Fourthly, land conflict has reduced social capital and increased tensions

between people in the neighbourhood.


Homes in Roi Krong are built from a mixture of concrete and wood. The

homes on the landside often have bigger plot sizes, are frequently made of

concrete, and are generally larger than canal-based homes. Canal-based

homes are built on stilts, have wooden or bamboo frames, floors and

walls. The roofs are usually made of corrugated iron. If a portion of the

canal based home is resting on solid ground, then residents will often use

concrete to construct the floor. Pictures of the King decorate the inside of

most of homes. It is common to see mosquito nets in poorer households

and air conditioners in more affluent ones.

As was the case in Saphan Mai, the buildings most vulnerable to the flood

were single storey wooden homes built on stilts over the canal. According

to the leader of Roi Krong, approximately 40 per cent of the people in the

neighborhood evacuated due to the poor quality of their homes. One

poorer resident who stayed in an evacuation shelter for the duration of

the flood said her family went there because there was food, a place to

sleep and that ‘life was better there’. Roi Krong residents said they

employed a number of coping strategies such as reducing the amount and


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quality of food they ate, as well as moving between their homes and

evacuation shelters to pick up donations at both locations.

The departure of families to evacuation centres severely affected the

rental market. One landlord reported offering free rent for one to two

months to prevent the permanent loss of tenants (RK17, a middle-aged

woman). Meanwhile, people who owned single storey wooden homes on

the canal reported that their homes were severely damaged and the

biggest challenge was finding enough money to carry out repairs.

Unemployment during the three-month duration of the flood occurred for

the majority of people in Roi Krong. Like in Bang Bua and Saphan Mai, daily

wage earners required access to loans to restart their businesses before

they could begin home repairs.

9.5.1 Rental property income

As suggested earlier, one of the reasons Baan Mankong is contested so

widely in Roi Krong is because of the high levels of income generated

through room rentals. The leader of the Baan Mankong group reported

that the neighbourhood has the potential to rent between 97 to 177

rooms. Many of the rooms are located in large houses and dormitories

abandoned by Rajabhat University 30 years ago, now taken over and

managed by ‘landlords’. The university built eight dormitories with 10-20

rooms on land owned by the government. Approximately 30 years ago it

was asked to respect the property lines put in place by BMA, delineating

public open space around the canal. In the process of withdrawal from

government land the university did not demolish the original buildings and

people took them over.

Today the market rate for a room rental is between 700-800 Baht (GBP 13-

15) per month (RK17, a middle-aged woman). Making space for houses on

the canal to move onto land would require property ‘owners’ to give up


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significant amounts of income from room rentals. One dormitory owner of

a 20-room building stated that the economic benefits of the current

property motivated her to oppose neighborhood upgrading. While

acknowledging the land does not legally belong to her, she said she

preferred to risk eviction, making as much income as she could until then.

Figure 9.5.1a, Figure 9.5.1b and Figure 9.5.1c are photographs of three

different dormitories that rent rooms. The photographs show that the

dormitories have large, pleasant outdoor spaces for people to socialise in.

Figure 9.5.1d shows a photograph of a room rental within one of the

houses.

Figure 9.5.1a: A dormitory with large, pleasant outdoor spaces for people to socialise in. Source: the author

Figure 9.5.1b: A second dormitory with large private open space with a table and an outdoor bed. Source: the author


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Figure 9.5.1c: A third dormitory with large private open space with a table. Source: the author


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Figure 9.5.1d: A photograph of a room rental within one of the houses in Roi Krong. Source: the author


Electricity and piped water has been available in Roi Krong since 1974

(RK27, an elderly woman). However, a small number of unregistered

homes currently do not have access to either because they are not

registered. The drive to formalise land tenure and housing has resulted in

new buildings being denied access to water and electricity unless they are

officially registered with the district government. The enforcement of this

law angers some of the unregistered houses that blame Baan Mankong


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programme for disrupting the informal system (RK29, and elderly man;

RK32, an elderly woman). The neighbourhood is in the process of filling in

paper work to get the district authority to move land-based electricity

poles into the canal. Inland electricity poles are impeding some of the

home reconstruction because people do not want to build their homes

around a pole; instead they prefer to wait until the poles are relocated.

The Electricity Generating Authority of Thailand, believed to be the

relevant authority, was unresponsive to neighbourhood requests to move

them. The neighbourhood now has an application in with the district

authority to move the poles (RK27, an elderly woman).

Household waste currently drains directly into the canal. Roi Krong does

not have water treatment facilities or sewerage tanks; however, some of

the newly reconstructed homes have their own sewerage filters (RK27, an

elderly woman). One active member of the Baan Mankong programme

said tanks would be installed when all the houses are constructed,

however that seems to be a long way off with the current social divisions.

Even though Roi Krong does not pay rent for the land, the district

authority has collected rubbish since 2004, from bins at the entrance of

the neighbourhood. The district pays two women a monthly stipend of

2,500 Baht (GBP 46.00) each to collect rubbish (RK13, an elderly woman;

RK14, an elderly woman; RK16, a middle-aged woman). Households prefer

to do their own recycling to supplement household income (RK27, and

elderly woman).

9.5.3 Community buildings and social divisions

There are three community buildings that have shared use: the health

centre, the community centre and the sala or gazebo. All community

buildings are based in the centre of the neighbourhood, and are within

hearing access of the public speaker system. The health clinic and


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community centre share a plot boundary as shown in Figure 9.5.3a. Those

who are strongly opposed to Baan Mankong do not often frequent the

health clinic or community centre. The district pays a small sum to a health

volunteer to coordinate activities and manage the use of the building. The

volunteer is also the head of the Baan Mankong programme. Baan

Mankong uses the community centre for its meetings.

Figure 9.5.3a: Roi Krong’s health centre (left) and community centre (right) used by Baan Mankong supporters. Source: the author

The third community building is the sala. There appears to be a tacit

understanding that the sala is used by non-Baan Mankong supporters.

Such was the case when the author validated findings in this

neighbourhood. Baan Mankong supporters were not originally present and

subsequently joined the meeting.

The sala is a large, metal structure with a corrugated iron roof. This area is

used as a play space for children and as a location for meetings with the

elected committee and its leader. Fold up tables and plastic chairs are


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stored elsewhere and set up for meetings in this space. However, when

the flood occurred people from both groups reported using the spacious

sala to sort and distribute flood relief items. Figure 9.5.3b below shows a

photograph of the sala used by the elected leader and his supporters.

Figure 9.5.3b: Roi Krong’s sala used by supporters of the elected leader. Source: the author

Funding for all three structures came from the district authority. In

principle, access to these facilities is open to everyone; however in

practice, use of the structures is restricted and reflects the

neighbourhood’s social divisions. Figure 9.5.3c shows all three community

buildings share a plot boundary.


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Figure 9.5.3c: A diagram of the community buildings in Roi Krong shows that all three buildings share a plot boundary, each with their own separate user groups. Source: the author

There is a notice board inside the community centre for posting updates to

primarily Baan Mankong users of the centre. However, notices are also

posted outside the community centre, on a cement fence, presumably to

provide information to those who do not enter the area. Figure 9.5.3d

shows a photo of the notice board inside the community centre and Figure

9.5.3e shows notices posted on the cement fence of the community

centre.

Figure 9.5.3d: A notice board inside the Roi Krong community centre. Source: the

author


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Figure 9.5.3e: Important notices posted outside the Roi Krong community centre on its fence. Source: the author

While some people feel that community buildings are an opportunity to

share and improve neighbourliness, others do not. When asked if the

neighbourhood has improved its social dynamics after the flood one

middle-aged man said, ‘Nothing here has changed since the floods. There

are good people and bad people in this area. We know each other and

who can be trusted. We know who is a thief and who we need to be

suspicious of’ (RK20, 2014, a middle-aged man). This quote reflects the

deep social divisions in Roi Krong.

Having explained the ways that CAS shaped and influenced the plots layer,

several dimensions of resilience can be identified. Firstly, the homes

reflect economic conditions of affluence and poverty. Secondly, income

from rental properties creates social divisions, and is the root cause of

opposition to upgrading. Thirdly, community building usage reflects the

social divide within the neighbourhood. The next section will explain the

way in which the dimensions of resilience within the different

morphological layers were validated with people from Roi Krong.


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The dimensions of resilience identified at the different morphological

layers above were validated with 12 people from Roi Krong through a

focus group discussion. Originally, supporters of the upgrading programme

were not present at the focus group discussion. Validating the findings

required the presence of both groups – supporters and non-supporters of

the upgrading; therefore actions were taken to ensure the group had a

balanced number of each. Once that was achieved the participants were

read statements about the dimensions of resilience and asked to share

why they agreed or disagreed.

Tensions in Roi Krong were higher than in other neighbourhoods so care

was taken to ‘do no harm’ by giving both sides the opportunity to respond

to the statements. Throughout the FGD discussion and original analysis

three conclusions can be drawn regarding the most influential dimensions

of resilience, and are presented below in the conclusions section.

Conclusion

This chapter identified the ways in which CAS shaped and influenced

different morphological levels in order to identify key dimensions of

resilience before, during and after the flood in Roi Krong. The chapter

began with a neighbourhood profile of Roi Krong. It then provided analysis

of four morphological layers including topography; movement networks

and public open spaces layer; the plots layer; and the buildings and

services layer. It then explained how key dimensions of resilience were

validated with people living in Roi Krong through a focus group discussion.

Three conclusions can be drawn regarding governance, economic and

social dimensions of resilience within Roi Krong.

Firstly, power is concentrated in two key nodes, that is, those who support

upgrading and those who oppose it. The group opposed to the upgrading


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is largely more affluent and yields more power than the upgrading group

and are therefore better able to obstruct any attempts at formalisation or

change within the neighbourhood.

Secondly, remaining informal best suits the affluent and some of the poor.

Large plots provide a lucrative source of rental income to the most

affluent group in the neighbourhood. Poorer people seek out free land

and cheap rent in Roi Krong’s centralised location. To many people in Roi

Krong, Baan Mankong offers little benefits. Afraid of debt or unable to

afford debt, some financially vulnerable people prefer to stay with the

current arrangement. Access to services such as running water and

electricity were available to Roi Krong over 35 years ago. Community

buildings and a health centre also exist without the need to formalise.

Thirdly, the development mechanisms used by Baan Mankong are not well

understood or trusted. Therefore, with an underwhelming subscriber

base, the savings group appeared to have limited success supporting

people during and after the flood. The flood affected governance

structures by revealing leadership interests and capabilities. For example,

the Baan Mankong leader was viewed as a major contributor, while the

elected leader was ousted in the next election cycle for not meeting

expectations. The flood inconvenienced poorer residents in Roi Krong and

set them back financially, but the political will and financial desire to build

physical resilience into vulnerable homes is negated by the fact that floods

in this area occur on a low frequency even thought they carry high risk.

In summary, examining the impact of the flood in Roi Krong demonstrated

the disaster entrenched an existing conflict with each of the two sides

working together perhaps more than they normally would, but overall

quite separately. Each group relied on its own existing contacts, networks

and economic mechanisms for surviving and recovering after the flood. A


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lack of ability to negotiate and lead at a neighbourhood scale fragmented

the flood response and recovery. Having identified key dimensions of

resilience at four morphological layers within each of the neighbourhoods,

it is useful to compare and contrast in order to understand what can be

generalised about all three of cases.

The next chapter will seek to highlight key findings across all three case

studies and identify where it is possible to generalise about key


Part IV. New contribution to knowledge

Chapter ten: key findings of the research

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Chapter ten Key findings from the case studies

Introduction

This chapter consolidates and re-interprets key findings from each of the

individual case studies in order to establish cross-case dimensions of urban

disaster resilience. Complex adaptive systems, known as CAS throughout,

and urban morphology have been combined to interrogate humanitarian

and development dimensions of urban disaster resilience within each of

the three case studies, to demonstrate that the two urban analysis

approaches can be combined to create intersections that define patterns

of urban resilience. Dimensions of resilience indicate the point where

human systems influence the built and natural environment and how they

affect people.

Furthermore, the intersections of CAS and morphology, where the

dimensions of resilience can be found, reflect the ‘urban’ aspects of

disaster resilience by accounting for understandings such as complexity,

fluidity and, importantly, the interdependencies that arise within and

between the various layers and systems.


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There are two parts to this chapter. Part I re-interprets the findings from

previous individual case study chapters in order to determine key

dimensions of resilience within each case study. To this end, key patterns

of vulnerability and capacity within economic, governance and social CAS

are revisited in order to enrich and validate the findings. The key

dimensions of resilience are then allocated to the morphological layers

they most influenced and conclusions about the dimensions of resilience

are drawn. These layers encourage thinking about a checklist of issues that

might not otherwise be thought about.

The intersection between CAS and morphology is where dimensions of

resilience are identified. Identifying dimensions of resilience is important

because they mostly influence the neighbourhood as a whole, enabling

the neighbourhood to ‘bounce back’ from shocks and stresses. At times

the dimensions of resilience may be positive or negative depending on the

different perspectives as will be demonstrated in the re-interpretation of

each of the cases.

Part II seeks to identify common dimensions of resilience across all three

cases by comparing and contrasting the case studies at different

morphological layers in order to generate links between the empirical

findings and broader theory. These links allow the research to generalise

its findings. Table 10.0 below summarises the two parts of this chapter.


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Structure for identifying urban disaster resilience dimensions

Part I Re-interpreting individual case study findings to establish key dimensions of urban resilience

Key patterns within CAS are allocated to morphological layers and re-interpreted in order to determine key dimensions of resilience within individual case studies.

Part II Establishing cross-case urban resilience dimensions

Generalisations about the key dimensions of resilience are made after a comparison between the three case studies.

Table 10.0: Chapter structure for identifying urban disaster resilience dimensions. Source: the author

Part I: Re-interpreting findings from individual cases

10.1 Bang Bua Neighbourhood

This section re-interprets findings from the Bang Bua Neighbourhood case

study in order to determine patterns of CAS and identify key dimensions of

resilience at four morphological layers.

10.1.1 Patterns of CAS

The economic flows that most influenced the resilience of Bang Bua

Neighbourhood began with the formalisation of tenure security of the

land. Secure land tenure made it possible to rebuild safe, robust homes

through collective savings, loans and livelihoods skills building

programmes. Economic investments protected people in Bang Bua

Neighbourhood when the flood occurred by having a welfare fund that

covered needs for things such as food, water and medicines during the

flood. People in Bang Bua Neighbourhood did not need to evacuate to

safer living areas because their upgraded homes provided a second storey

retreat from the flood. After the flood, successful investments in economic

measures could be seen in the limited damage to housing, which was


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improved through savings and loans mechanisms. In terms of governance

networks the new governance mechanism put in place during the

upgrading proved to be an accountable and transparent mechanism,

which laid the foundation for successful adaptation to a range of risks.

With strong leadership, a decentralised structure and high levels of

participation, the neighbourhood was skilled at working collectively to

address chronic stresses and acute shocks. Overall road safety was

increased through the use of collective problem solving. During the flood

the governance mechanism adapted itself and its processes to continue to

meet the needs of neighbourhood residents in an accountable and

transparent manner. After the flood the neighbourhood continued

working on collective problem solving and sharing their learning with

other neighbourhoods endeavoring to upgrade around the country.

In terms of social dynamics, activities within the economic and governance

systems built up a highly functioning social system within Bang Bua

Neighbourhood. Relationships and trust between residents were

developed through collective activities such as the savings groups and the

problem solving of a range of chronic stresses. The success and scope of

the social welfare system indicates the neighbourhood’s capacity to build

flexible mechanisms that meet the needs of a range of vulnerabilities.

Essentially, the upgrading transformed the neighborhood’s social identity

in a positive way. During the flood, Bang Bua Neighbourhood residents

significantly contributed to the capacity of the Canal Network and its

ability to rival district governments in efficiency. By the end of the flood,

the Bang Bua Network had grown significantly through the skills

developed during activities undertaken before, during and after the flood.

After the flood, social dynamics were perceived to have returned to pre-

flood conditions. Table 10.1.1a below summarises the key findings from

each CAS discussed in this section.


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Table 10.1.1a: A summary of the key patterns that arose from analysis of economic, governance and social CAS before, during and after the flood in Bang Bua Neighbourhood. Source: the author

Bang Bua (Case 1): Patterns of CAS

Economic Flows Governance Networks Social Dynamics

Before the flood

Formalisation of land resulted in upgrading

New governance mechanism deemed accountable and transparent

Developed a social welfare system and greatly invested in it

Upgraded houses are robust and disaster resistant

Collective problem solving skills developed

Organised social events to build relationships

Savings, loans and livelihoods mechanisms were successful

More permeable roads increased safety though a neighbourhood watch approach to crime and violence

Upgrading transformed social identity

During the flood

Savings group funded food kitchens

Sub-committee used to manage flood needs

Bang Bua Canal Network competed with district government regarding efficiency of flood response

Evacuation an elective, not a necessity because people lived in their second storey

Used Bang Bua Canal Network and neighbourhood partnerships secured donations

Distribution hub for the Bang Bua Canal Network set up in Bang Bua Neighbourhood

High levels of trust in the processes of managing distributions

After the flood

Access to supplementary income through livelihood groups and loans

Focus on collective problem solving of chronic stresses continued

Bang Bua Canal Network expanded significantly

Homes received flood damage but were not destroyed


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Based on the patterns presented above, a summary of the dimensions of

resilience within CAS in Bang Bua Neighbourhood is presented in Table

10.1.1b below. These nine elements significantly influenced the urban

form of Bang Bua neighbourhood and the ways in which people’s lives

were affected by the built environment, which will be explained in the

next section.

Bang Bua Case 1: Key Dimensions of Resilience Within CAS

Economic Governance Social

Secure land tenure Governance structures Network and partnerships

Savings group Agency Social capital

Flood resistant housing Safety Social welfare fund

Table 10.1.1b: a summary of the key findings from each CAS discussed Bang Bua neighbourhood. Source: the author

10.1.2 Dimensions of resilience

This section presents an analysis of the dimensions of resilience within

Bang Bua Neighbourhood, starting with topography and moving down to

the buildings and services layer. Allocating resilience dimensions within

CAS in table 10.1.1b to the morphological layer they most influenced

offers a full picture of how CAS interact with the built environment to

create dimensions of resilience. Dimensions are highlighted in italics when

mentioned within each layer. Overall, all of the dimensions identified in

Bang Bua Neighbourhood were positive and enabled the neighbourhood

to adapt and transform as required in different circumstances. Before the

flood these dimensions were integral to the neighbourhood’s capacity to

deal with chronic stresses. During the flood, the dimensions were adapted

in order to ensure various parts of the neighbourhood maintain a basic

functioning, which is responsible for the survival of Bang Bua residents.

After the flood, the dimensions significantly impacted the rate of recovery

and quality of life. Figure 10.1.2a below shows the dimensions of resilience


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located at the intersections of CAS and morphology. Not all of the

intersections are filled because only the most prominent dimensions were

prioritised in the discussion.

Topography

Most of the CAS at the topographical layer were operating at city and

national levels and therefore while the neighbourhood was greatly

impacted by them, the neighbourhood itself exerted minimal impact on

larger topographical systems. However, Bang Bua Neighbourhood did

demonstrate impact and high level change by working with city-scale

actors (primarily urban planners and the National Baan Mankong

Upgrading Network) to adapt planning policy leveraging their networks

and partnerships.

Movement networks and public open spaces

At the movement networks and public open spaces layer, governance

mechanisms influenced the degree of safety, primarily by increasing the

permeability of the road networks and developing public open spaces for

children to play in and adults to socialise or sell merchandise.

Plots

Unsurprisingly, the plots layer in Bang Bua Neighbourhood was the layer

most affected by newly introduced economic, governance and social CAS.

The Baan Mankong programme targeted change at the plot layer by

assisting the neighbourhood to achieve secure land tenure through the

introduction of development mechanisms such as a savings group, and the

new governance structures for the upgrading process, all of which

contributed to building social capital. The savings group was able to

achieve a small contingency of money that could be used as a welfare

fund, resulting in a strong social welfare safety net. Together, the


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development mechanisms at the plot layer resulted in a stronger sense of

neighbourhood agency.

Buildings and services

At the buildings and services layer flood resistant housing was achieved

through the dimensions of resilience introduced at the plots layer (savings

mechanisms, governance mechanisms and social capital), resulting in an

investment of money and reducing the risk of damage due to natural

hazards such as fire and flooding.

Figure 10.1.2a below summarises the dimensions of resilience described

above, plotting them on the relevant intersection between CAS and

morphology.

Figure 10.1.2a: The conceptual framework with dimensions of resilience from Bang Bua neighbourhood plotted at different intersections between CAS and morphological layers. Source: the author


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10.2 Saphan Mai Neighbourhood

This section re-interprets findings from the Saphan Mai Neighbourhood

case study in order to determine patterns of economic, governance and

social CAS and identify key dimensions of resilience at four morphological

layers.


The economic flows that influenced the most change in Saphan Mai began

with the legalisation of land. Secure land tenure enabled the

neighbourhood to invest in a savings group that was moderately

successful due to an initial lack of trust in the economic systems and

mechanisms governing them. The flood served as an opportunity to build

trust in the economic systems that created additional welfare funds to

support neighbourhood residents with supplementary food. Due to a lack

of safety during the flood, a significant number of people had to evacuate

from their homes. However, soon after the flood all the homes managed

to upgrade. For some this occurred due to an increase in trust in the

economic systems and governance mechanisms; meanwhile a small

minority agreed to upgrade because of the threat of a lawsuit and

potential eviction if they did not cooperate.

Governance networks influenced Sapan Mai primarily because they were

built on a conflict of interest, which reduced overall levels of trust. The

lengthy time it took for the neighbourhood to upgrade demonstrates a

moderate ability to self organise. That moderate ability was also apparent

in the floods where there was a low-level of dissatisfaction regarding the

way distributions were managed. However, the moderate degree of self-

organisation has resulted in an ability to upgrade roads and therefore the

overall level of neighbourhood safety. The imbalance of power continued

after the flood and is reflected in the use of public open space and

buildings. The social dynamics within the neighbourhood improved when


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people saw financial mechanisms built a degree of redundancy into the

social welfare system, enabling vulnerable families to be supported by it.

The action of working together during the flood to manage social welfare

activities built a level of trust in the governance systems for some. Table

10.2.1a provides a summary of the key themes that arose from the

analysis of Saphan Mai.

Saphan Mai (Case 2): Patterns of CAS


Before the flood

Growth of savings group hindered by lack of trust

New governance mechanism built on a conflict of interest

Minimally reliant upon external partnerships and link with the Bang Bua Canal Networks

Lack of trust in economic systems limited the number of flood resistant houses built

Moderate ability to self organise for meetings and activities

Upgrading created high social capital in the upgrading group

Formalisation of land enabled upgrading for some

More permeable roads resulted in increased safety

During the flood

Savings group funded food kitchens, which built trust

Low-level dissatisfaction of distribution of donations

Flood became an opportunity to work together

Single storey homes evacuated due to lack of safety

Moderately reliant upon external partnerships and link with the Bang Bua Canal Networks

After the flood

All homes upgraded to flood resistant homes

Imbalance of power reflected in use of public open space and buildings

Built environment upgraded but with tares in social fabric

Legal structures forced participation in upgrading

Table 10.2.1a: A summary of the key patterns that arose from analysis of economic, governance and social CAS before, during and after the flood in Saphan Mai. Source: the author


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Based on the themes presented above, a summary of the dimensions

within CAS in Saphan Mai is presented in Table 10.2.2b below. The eight

dimensions significantly influenced the urban form of Bang Bua

neighbourhood and the ways in which the built form affected people,

which will be explained in the next section.

Saphan Mai (case 2): Key Dimensions of Resilience Within CAS


Secure land tenure Governance structures Network and partnerships

Savings group Self-organisation Social capital

Flood resistant housing Safety

Table 10.2.1b: A list of key dimensions of resilience within economic, governance and social CAS in Saphan Mai. Source: the author


After more than a decade of upgrading, Saphan Mai managed to build the

physical resilience of people in the neighbourhood by enabling residents

to invest in homes that are safe and robust. For the greater part of a

decade a minority of people did not see their financial and social

capacities grow because they resisted participation in the mainstream

activities of the neighbourhood. Some chose resistance to upgrading

because their physical and economic resilience was already high with

adequate income earning potential and robust homes. Individuals with

low-income earning potential and low-quality homes were less resilient

and benefitted most from the identified dimensions of resilience.

As a whole, the neighbourhood is physically more resilient after the 2011

flood than it was before the flood occurred. Figure 10.2.2a below shows

the dimensions of resilience at different intersections between CAS and

morphological layers. A description of each of the dimensions is given in

the section below with dimensions identified in italics.


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Topography

Much like Bang Bua, Saphan Mai’s primary influence at the topographical

layer was through networks and external partnerships with the Lak Si

district government and other city-scale actors to adapt planning policies

that resulted in legal and safe construction within the neighbourhood.


At the movement networks and public open spaces layer wider roads that

better permeated the neighbourhood created a greater sense of safety

due to high levels of footfall and greater visibility of public open spaces.

Plots

In the plots layer the greatest degree of change can be seen, because like

Bang Bua, Saphan Mai was able to negotiate secure land tenure through

the formulaic Baan Mankong saving group and governance structures.

While there was a minimal degree of conflict in Saphan Mai, most of the

neighbourhood was able to self-organise before the flood and during.

Improvements to the ways in which the neighbourhood works together

occurred after the flood when levels of social capital increased after

people worked together to survive.


In the buildings and services layer, it can be concluded that before the

floods, a majority of the physical infrastructure was upgraded but at the

cost of tearing holes in the social fabric. However, those who did not

participate in home reconstruction before the flood did so after, because

to a greater or lesser degree, the benefits of flood resistance housing were

realised during the flood.


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Figure 10.2.2a below summarises the dimensions of resilience described

above, plotting them on the relevant intersection between CAS and

morphology.

Figure 10.2.2a: The conceptual framework with dimensions of resilience from Saphan Mai neighbourhood plotted at different intersections between CAS and morphological layers. Source: the author

10.3 Roi Krong Neighbourhood

This section re-interprets findings from the Roi Krong Neighbourhood case

study in order to determine patterns of economic, governance and social

CAS and identify key dimensions of resilience at four morphological layers.


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The economic flows in Roi Krong are the least similar of all the

neighbourhoods. To begin with, an informal land status best suits the

affluent people in the neighbourhood who earn income from room rentals

in dormitories that have been abandoned by Rajabhat University. It also

suits poorer people who do not want to go into debt or believe they

cannot afford to. Due to an inability to negotiate a land sharing agreement

throughout the neighbourhood via Baan Mankong, only 25 houses have

been upgraded and 12 repaired out of total of 135 homes. The lack of

support for Baan Mankong has resulted in a limited interest in the savings

group. A lack of large support based means the savings group is limited in

its ability to offer social welfare and to financially support people before

and after the flood. During the flood approximately 40 per cent of the

neighbourhood evacuated, primarily people from single storey homes

(including renters). Access to loans after the flood was a challenge for

people living in Roi Krong.

In terms of governance networks Roi Krong also stands out as different in

the systems it hosts. When Baan Mankong arrived two nodes of power

formed, each with its own governance mechanism (one node is organised

under the Baan Mankong scheme, the other is through official election

channels). The Baan Mankong governance structure does not seem to be

well understood or widely trusted in Roi Krong. During the flood the Baan

Mankong governance structure seemed to prove itself as capable and

trustworthy. Meanwhile, the past elected leader was perceived within the

neighbourhood as corrupt. After the flood, healthy democratic processes

were demonstrated when the elected leader was replaced in the next

election cycle. Meanwhile, the use of public spaces and buildings reflects

the power dynamics with each governance structure having its own

communal space to meet in.


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In terms of social dynamics, each governance structure created its own

partnerships and network. For example, the Baan Mankong upgrading

group relied on support from the Bang Bua Canal Network while the

elected leader sought support from his political party connections. During

the flood, the two governance structures reported to work together more

than they normally would have; however, after the flood the tensions

resumed and the upgrading conflict remained entrenched. Table 10.3.1a

provides a summary of the key patterns of CAS interactions that arose

from the analysis of Roi Krong.


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Roi Krong (Case 3): Patterns of CAS


Before the flood

Remaining informal best suited the affluent and some of the poor; 25 houses out of 135 were reconstructed and 12 repaired through Baan Mankong

The upgrading created two governance structures: 1.) Baan Mankong and 2.) Elected leadership recognised by the district authority

External partnerships and networks created for governance structure

Undersubscribed support base for savings group limited the group’s ability to create impact

Development mechanisms such as savings groups and governance structures used by Baan Mankong were not well understood or trusted

Affluent people had flood resistant homes

During the flood

Poorer groups inhabited single storey homes, which had to be evacuated (about 40% of the neighbourhood)

Leadership of Baan Mankong governance structure proved itself; elected leadership perceived as corrupt and later voted out

Baan Mankong group relied heavily on the network; elected leader relied on political party connections

Leaders were more passive than active in receiving and managing aid assistance

During the flood the two governance structures worked together more than they normally would have

Lack of ability to lead a neighbourhood scale response due to leadership fragmentation

After the flood

Access to loans required

Each governance structure used different public open spaces and buildings

The existing community tensions related to upgrading remained entrenched after the flood

Income from room rentals highly valued and therefor the rental market was shielded from change

Healthy, democratic processes enabled a turnover in elected leadership due to perceived corruption

Table 10.3.1a: A summary of the key patterns that arose from analysis of economic, governance and social CAS before, during and after the flood in Roi Krong. Source: the author


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Based on the themes presented above, a summary of the four dimensions

of resilience identified in Roi Krong is presented in Table 10.3.1b below.

The limited dimensions of resilience reflect low levels of overall resilience

in Roi Krong compared to the other case studies and will be further

explained in each layer below. The dimensions that are listed in the table

below are plotted on the conceptual framework at the layer where they

had the most influence in Figure 10.3.2a. The plotting of the dimensions

reflects the interaction of CAS with the morphological layers.

Roi Krong (case 3): Key Dimensions of Resilience Within CAS


Room rentals Healthy democracy Network and partnerships

Safety

Table 10.3.1b: A list of key dimensions of resilience within economic, governance and social CAS in Roi Krong. Source: the author


Overall, Roi Krong Neighbourhood managed to resist major changes to its

built environment due to a small group of people who occupy land and

buildings critical to transformation. Currently, that group of people is the

most resilient because they have control over land, a scarce resource in

Roi Krong. Meanwhile, poorer people remain physically and economically

vulnerable to disaster shocks and chronic stresses because of the state of

their homes, lack of earning potential and a lack of access to loans. The

observation that there are ‘winners’ and ‘losers’ in every neighbourhood

in regards to resilience is reflected in the following statement by Bahdur

and Tanner who write that: ‘Trade-offs between different groups seeking

resilience become particularly accentuated in densely populated urban

contexts where an increase in one household’s resilience can lead, very

quickly, to the enhanced vulnerability of another’ (2014, p.204). In Roi

Krong, resilience is about negotiating ‘social and economic fault lines’


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(Bahadur and Tanner, 2014, p.206) within the neighbourhood. As with the

other case studies, the dimensions of resilience in Roi Krong are indicated

at the intersections between CAS and the morphological layers where the

most influence was evidenced, and presented in Figure 10.3.2a below.

Topography

Like Bang Bua neighbourhood and Saphan Mai, Roi Krong did not have

much influence at the topographical layer until the neighbourhood joined

networks and partnerships as it did when the neighbourhood upgrading

group linked with the Bang Bua Canal Network and the elected leadership

group linked with political parties.


At the movement and public open spaces layer only one dimension of

resilience was identified. The aspect of safety within Roi Krong did not

change and remained tenuous. This is an example of ‘bouncing back’ to an

undesirable state. Perhaps this is because as stated earlier, the upgrading

caused a split in the neighbourhood resulting in the inability for the

neighbourhood to work together as one. Therefore, upgrading roads and

adding lights for safety did not occur in Roi Krong as it did elsewhere

because without security of tenure, people were not willing to invest in

neighbourhood infrastructure, including roads and public open spaces.

Plots

At the plots layer neighbourhood upgrading was rejected because

remaining informal best suited both more affluent people and some of the

poorest. Affluent houses did not need or want to upgrade; nor did they

want to lose the extra space used for room rental income. In terms of

governance, a separation of power can readily be seen at the plots layer as

a direct result of the Baan Mankong upgrading. However, the existing

governance mechanisms were willing to share power with the newly


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formed Baan Mankong mechanism that governed the upgrading

programme, signaling a healthy democracy. Moreover, after the flood the

neighbourhood held elections and voted in a new leader based on

dissatisfaction with the way the previous leader managed the flood

response.


In the building layer, room rentals were a key dimension of resilience. The

room rentals were a source of contention and one of the primary reasons

land sharing agreements – and most likely the other development

mechanisms – did not have a high success rate in Roi Krong. Room rentals

further highlight that resilience for one group, for instance the controllers

of property and buildings, does not equal resilience for another group

such as people living over the canal in shanty homes who want to upgrade.

It is important to note that the presence of room rentals is not a wholly

negative dimension of resilience in Roi Krong; a number of urban poor in

the neighbourhood require affordable rental housing in a central location

in order to access higher paying work. Therefore, the rental properties are

an important asset to renters and could offer greater physical resilience to

natural shocks if they were constructed more robustly.


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Figure 10.3.2a: Dimensions of resilience from Roi Krong neighbourhood indicated at the intersections between CAS and the morphological layers where the most influence was evidenced.

In summary, each neighbourhood has its own unique complex economic,

governance and social CAS patterns. Bang Bua Neighbourhood and Saphan

Mai had the most similar patterns while Roi Krong stood out for having

fewer patterns that stray from the established patterns of the other two

cases as shown below in Figure 10.3.2b. Reasons for the patterns and

deviations will be provided in Part II of this chapter where cross-case

dimensions of resilience are explained.


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Dimensions of Urban Disaster Resilience

Bang Bua Neighbourhood

Saphan Mai Neighbourhood

Roi Krong Neighbourhood

Economic flows

Secure land tenure Secure land tenure Rental properties

Savings group Savings group

Flood resistant housing Flood resistant housing

Governance Networks

Governance mechanism Governance mechanism Healthy democracy

Agency Self-organisation Safety

Safety Safety

Social Dynamics

Network and partnerships



Social capital Social capital

Social welfare

Table 10.4: An overview of the key dimensions of resilience within economic, governance and social CAS in Bang Bua, Saphan Mai and Roi Krong neighbourhoods. Source: the author

Therefore, Part I of this chapter re-interpreted findings of individual case

studies in terms of the patterns of economic, governance and social CAS as

well as how they were articulated as dimensions of resilience when

plotted on different morphological layers. Next, Part II of this chapter will

establish cross-case dimensions of resilience by comparing the case

studies in order to identify what can be generalised.

Part II: establishing cross-case urban resilience dimensions Within each morphological layer key dimensions of resilience have been

identified. Not all of the dimensions of resilience are positive, or are seen

as positive by everyone. Some of the dimensions identified within the

different layers helped neighbourhoods to ‘bounce back’ and stay in a

relatively similar state to before a shock or stress occurred. However,

other dimensions of resilience have helped neighbourhoods and


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individuals to ‘bounce forward’ or transform into a state that allows them

to better cope with shocks and stresses. Analysis of the cross-case

dimensions of resilience within each layer looks at patterns of the

identified dimension of resilience before the flood, during and after,

before drawing conclusions about the dimension of resilience, including

whether it is positive or negative and for whom.

10.5 Dimensions of resilience within the topographical layer

The topography layer illustrates that civil society networks and

partnerships became an important source of support to poorer people.

Two key networks were revealed at the topographical layer. The first was

the Bang Bua Canal Network of 12 neighbourhoods. The second was the

National Baan Mankong Upgrading Network of 1,546 communities in 277

cities (Wungpatcharapon and Tovivich, 2012b). This topography layer

explains how urban poor networks were effective in the collective

production of knowledge; their ability for self-representation; and filling in

gaps when governments were ineffective.

10.5.1 Urban poor networks and the collective production of knowledge

Through networks, groups of urban poor people were capable of

collectively producing knowledge (Reed et al., 2014) and learning from one

another. The Bang Bua Canal Network enabled 12 participating

neighbourhoods to share good practice. For example, Saphan Mai

Neighbourhood had difficulty operationalising its savings group and

drawing in a large membership base, so its leadership committee visited

Bang Bua Neighbourhood and others to share ways of overcoming savings

group start up difficulties (KI14, a local aid worker; KI34, a neighborhood

leader). Neighbourhoods in the network also worked together on

strategies and mechanisms to reduce pollution. For example, a ‘grease


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trap’ was designed in one neighbourhood and distributed throughout the

entire canal network as an inexpensive way to treat wastewater. Although

the grease trap is no longer in use today, it succeeded in creating

relationships and bonds within a group of people united by a single cause

(FGDBB1). Meanwhile the larger, nation-wide Baan Mankong Upgrading

Network aided in flood preparedness for the 12 neighbourhoods that

volunteered to travel to flood-affected neighbourhoods in northern

Thailand in order to learn about flood readiness and response as a means

of preparing their own neighbourhoods and systems. The exchange of

learning was especially helpful because information regarding when the

flood would arrive and where it would hit was often conflicting, which

made it difficult for people to prepare.

10.5.2 Urban poor networks demonstrate a capability for analysis, self-

representation and agency

It is argued here that an increased capability for analysis, self-

representation and agency can be seen through examining the two

networks’ response to shocks and stresses.

Capability for analysis

The Bang Bua Canal Network increased its capacity to collectively analyse

problems through repeated attempts to solve wide-spread problems such

as pollution. As a network the group cleaned the water and worked with

the government to dredge the canal (KI3, a senior leader in a local aid

agency; FGDBB1).

Further examples of analysis can be found during the disaster. After

leaders returned from their learning exchange in other flood-affected

areas, they decided that each neighbourhood required its own boat for

distributions and sought funding from CODI to purchase boats (KI33, a

neighbourhood leader).


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Self-representation and agency

Once the flood occurred, the Bang Bua Canal Network actively sought

support from its external partners, i.e. the military, aid agencies,

universities and politicians. The network had the capability and

importantly, the trust by its members and partners to manage the

distribution of donations. It is at this juncture where we begin to see

examples of agency, a term often used to describe those who act

independently and are freely to make their own choices (Brown and

Westaway, 2011). One of the consequences of ineffective government

disaster management policies is that assistance did not arrive in Bang Bua

Canal for seven days. During that time the network created its own food

kitchens, having the financial means and social ability to self organise to

support the basic needs of large numbers of people. Agency can also be

seen in 2004, when the Bang Bua Canal first formed the network and

worked together to avoid eviction by the government (discussed in

Chapter five, section 5.4).

10.5.3 Where government actions came up short, networks and their

partners fill the gap

The Bang Bua Canal’s upgrading network engaged with a range of city and

national scale stakeholders to build resilience. During the upgrading, the

network partnered with architects, planners, district authorities, the

municipality, aid agencies and universities. For a period of ten years

relationships grew between the canal network and the previously

mentioned stakeholders. When the 2011 flood occurred, the network and

its partners adapted the ways in which they worked together. For

example, medical students from universities provided health care advice

and engineering students taught people how to prevent electrocution.

In fact, the Bang Bua Canal Network rivaled Bang Khen and Lak Si district

governments in terms of having the ability to quickly procure aid and

effectively distribute it (KI33, a neighbourhood leader; KI36,


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neighbourhood leader; KI38, an officer from Bang Khen district).

Moreover, because the district governments were perceived as less

effective than the Bang Bua Canal Network, neighbourhood membership

in the canal network had grown from 18 to 38 neighbourhoods (KI33, a

neighbourhood leader; KI32, a neighbourhood leader) by the end of the

flood.

In conclusion, the generalisable key finding within the topography layer is

that in crisis situations where government policies and frameworks are

ineffective, networks and partnerships take on a more active role,

especially within poorer urban populations. Having said that, resilience

thinking at the national level must not expect populations to replace the

role of government. Therefore national level governance and policy

contexts ought to be taken into account in order to reduce political

vulnerability (Bahadur and Tanner, 2014) in addition to building social

resilience. Therefore, networks should engage with national and municipal

level disaster management and urban planning policies to build a greater

degree of resilience.

10.6 Dimensions of resilience within the movement networks and public open spaces layer

Economic and social use of movement networks and public open spaces

offer insights into power dynamics. Who is included in the social and

economic interactions that take place on roads and in public open spaces

demonstrates that power is a relational effect, an outcome of social

interaction. Allen (2003) notes that the ways in which spaces are

constructed, their layout and uses, serve as a resource of power and a

means through which power is exercised. He therefore argues that

‘particular places may play host to a variety of cross-cutting arrangements


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of power’ and that ‘…if power has a presence at all, it has it through the

interplay of forces established in place’ (Allen, 2003, p.11). This movement

networks and public open spaces layer reveals three dimensions of

resilience: safety, inclusivity and income generation.

10.6.1 Safety

The upgrading process prioritised the creation and improvement of roads

and public open spaces, which contributed to an overall greater sense of

safety and security in the Bang Bua Canal. For example, major pedestrian

lanes were introduced and expanded creating more permeability while the

installation of lights provided better visibility. Smaller alleys were designed

with a high degree of connectedness to the major pedestrian lane in two

of the neighbourhoods, arguably contributing to safety by increasing

footfall in previously isolated areas. Jacobs (1961b) writes that public

peace is kept not by police, but by the public itself through people having

‘eyes on the street’ when there is ‘continuous use’, which turns human

activity into interesting activity to watch. In terms of public open spaces,

children’s right to play in safe, child-friendly spaces was prioritised through

the design of public open spaces at the centre of all three

neighbourhoods. Prior to the upgrading children used to play in parking

lots, at risk of vehicular related accidents and within reach of strangers.

Assimilating children through safe places to play in their neighbourhood

creates spatial autonomy for social interaction, and turns public open

spaces into grounds where children can develop and test their identity in

relation to their peers (Travlou, 2007).

10.6.2 Inclusiveness

Social inclusion is the second dimension of resilience identified within the

movement networks and public open spaces layer. The increased coverage

of the pedestrian lanes also increased the capacity for socialising. Canal

dwellers parked their motorcycles in pockets of open space when visiting

one another and were observed sitting outside watching activities taking


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place on the pedestrian lanes. However, examination of public open

spaces also reveals findings about the experience of inclusion in the Bang

Bua Canal. As discussed above, children are included through the

intentional creation of open space. Their caregivers, usually elderly

relatives, are also included because the space is within a short walking

distance of all neighbourhood homes and is a pleasant area for adults to

gather, socialise and supervise younger children. In Saphan Mai adults

used the open space for formal neighbourhood meetings. In Roi Krong a

big public open space existed before the flood, but since tensions have

become further entrenched the two governance groups have further

segregated themselves by using separate public open spaces to conduct

meetings.

10.6.3 Income generation

The roads are enablers for people to generate income; therefore income

generation is included as the third dimension of resilience at the

movement networks and public open spaces layer. In Bang Bua

Neighbourhood the creation of a canal-based pedestrian lane resulted in

an increase of vendors accessing the area with goods to sell. Small

portions of the road in Bang Bua and Saphan Mai are used for storing

goods related to income generation, such as vending carts or goods for

recycling. In Roi Krong the main road remains narrow and accommodates

few vendors.

When the 2011 flood struck, roads and other public open spaces were

completely submerged, and therefore of little use to residents.

Neighbourhood leaders participating in Baan Mankong prioritised mobility

in their preparedness efforts through the decision to preposition one boat

per neighbourhood in order to assist with the distribution of aid. Free

public transportation offered at a city-level enabled some poorer people

to continue working at their regular jobs or to innovate ways to earn


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money by travelling great distances to markets and reselling goods on

rafts. Overall, mobility was underscored as extremely important to

residents because they needed to access different parts of the city to

access to food, education, health care, jobs and other such daily routines

that enable survival and well-being. After the floodwaters receded, Bang

Bua Neighbourhood resumed patterns of economic and social activities

that took place before the flood. The robust roads sustained little to no

damage, resulting in a quicker recovery. Meanwhile, Saphan Mai placed

great emphasis on rebuilding roads after the flood, having the opportunity

to widen parts of the primary pedestrian lane and create smaller alleys

that increased the permeability of the neighbourhood when 45 additional

houses agreed to land share and reconstruct their homes through Baan

Mankong.

In summary, thoughtfully designed and well maintained roads and public

open spaces become a panoply of social and economic activities that

promote safety, inclusivity and income generation for users.

10.7 Dimensions of resilience within the plots layer

The incremental upgrading of individual and neighbourhood plots within

the Bang Bua Canal is an example of a development methodology that has

been tested by disaster. The primary observation is that development

mechanisms founded on social capital can be a reliable neighbourhood-

scale response system during and after a disaster. However, this finding

does not mean that the systems should work in isolation, instead they

should consider horizontal links with multi-sectoral actors within each of

the different morphological layers (such as architects who helped design

buildings and city planners who made planning regulations flexible enough


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to suit the context in Bang Bua). Kropf (2009) argues that analysis of those

who control the use of plots and those who use them can provide

essential insights into the nature of socially defined relationships. In the

case of the Bang Bua Canal, analysis of the users and the ways in which

plots are controlled reveal four key dimensions of resilience that

transformed plots.

10.7.1 Land tenure

The first dimension is secure land tenure, and the ways in which chronic

stresses and sudden disaster shocks prompted the need for canal

residents to rethink tenure security. In 2000 the looming threat of eviction

instigated a multi-sectoral approach to upgrading between 12

neighbourhoods to quiet the conflict potentially brewing between the land

owner (the national government) and canal dwellers. Hardoy and

Satterthwaite (1989) write that where there is no conflict between

landowners and the inhabitants, governments are less likely to bulldoze

illegal developments, citing Bangkok as an example of illegal sub-divisions

of land often escaping demise. Individual financial investments in

buildings, roads and public spaces are risky without tenure security. Bang

Bua Neighbourhood seized the opportunity to secure land tenure and

reconstructed all of its homes within two years after a year of planning

had taken place. In Saphan Mai, having tenure security was also important

before people invest in buildings and common infrastructure. However,

the process of securing tenure took nine years in Saphan Mai due to a

number of factors including lack of trust in financial mechanisms and

governance mechanisms. After the 2011 flood, more trust appeared to

have been built amongst the residents and a majority of the 45 houses

that had not undergone construction, began to engage in the upgrading

process. Moreover, a legal mechanism had been put in place to potentially

sue 17 houses that were living on cooperative land without paying rent

(see Chapter Eight). Meanwhile, in Roi Krong while people desired tenure


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security in principle, formalization was resisted partly because of

unwillingness for more affluent people to participate in land sharing in

addition to fragmented social capital.

10.7.2 Savings groups

The second dimension of resilience within the plot layer is financial

mechanisms. Through cross-case analysis it can be concluded that for

poorer urban individuals financial access is often dependent upon social

capital at the neighbourhood level. As was explained in Chapter Five,

savings groups were important mechanisms for poorer people to

collectively pool resources in order to access low interest loans. Such loans

were then used to reblock plots, reconstruct homes, invest in common

urban infrastructure as well as initiate a social welfare fund (discussed in

Chapter Five, section 5.3). After the 2011 flood, neighbourhood savings

groups provided small loans with an even lower interest rates to members

who needed money to invest in activities such as restarting livelihoods or

paying school fees. The savings group worked as a mechanism for building

social capital because of the collective way in which people worked

together to manage their money. Transparent and accountable processes

and management committees earned trust amongst members and formed

relationships and bonds. Those who did not participate in savings groups

either had alternative means of accessing finances (through loans from

employers or family members, for example) or felt they could not afford to

participate because the investment cost was too high. However, the

evidence across all three case studies shows that poorer people who

participated in collective financial mechanisms were able to afford to

transform their individual plots and associated infrastructure.

10.7.3 Governance structures

The third dimension of resilience within the plots layer is governance

structures. Cross-case study analysis found that democratic formal and


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informal governance mechanisms are amenable to power sharing and

adaptable to crisis and non-crisis situations. Seeliger and Turok (2014)

argue that adaptive governance is an appropriate framework for building

resilience by strengthening local capabilities beyond ‘managing’ informal

settlements to positively integrating into the wider city. Adaptive

governance involves increasing security and social cohesion; reducing

vulnerability arising from spatial patterns; increasing employment

opportunities; and encouraging innovation (Seeliger and Turok, 2014)

amongst other such activities witnessed at the plot level in all three

neighbourhood case studies.

The case studies showed that governance structures are most successful

when they are transparent, accountable and equitable, regardless of

whether they are formal or informal. In Bang Bua Neighbourhood there

appeared to be a large level of satisfaction with the elected leader’s ability

to manage the formal neighbourhood duties as well as the upgrading

activities. Bang Bua Neighbourhood’s governance structure was

decentralised and therefore enjoyed high levels of participation in

activities such as census data collection. When the 2011 flood occurred,

the method for collecting census data was adapted for assessing needs

and monitoring distributions with what was described as a satisfactory

method by most people in Bang Bua neighbourhood.

In Saphan Mai, the new upgrading governance structure displaced an old

power structure and was built on a conflict of interest with a husband

standing as the elected leader, his wife as the leader of the upgrading

activities and their daughter as the accountant of both structures. The

governance structure in Saphan Mai can be described as lacking

transparency and accountability. However, it was chosen through

democratic means because most of the residents in the neighbourhood

are relatives or friends of the family in power (discussed in Chapter Eight).


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In Roi Krong the introduction of Baan Mankong created two governance

structures. When the flood struck each structure relied on its own

previously established network of peers for support. After the flood the

leader was replaced in the next neighbourhood election cycle due to

dissatisfaction with his performance, demonstrating the existence of a

healthy democracy.

10.7.4 Social capital

The fourth dimension of resilience identified at the plots layer is social

capital. Here Archer’s (2009) theory of three levels of social capital –

bonding, a function of intra-communal relations; bridging, inter-communal

relations; and linking, a function of community relations with the state –

offers a framework for understanding the ways in which social capital

impacted the plots layer. The first level of social capital, ‘bonding’, is

evidenced most when neighbourhoods attempted to create equity

amongst social and financial inequities. For example, through the

upgrading neighbourhoods engaged in a number of collective activities

such as the celebration of Mother’s and Father’s Day. Neighbourhoods

worked together to plan new roads, redistribute plots of land and develop

public open spaces. Each neighbourhood has its own social welfare system

(as described in Chapter Five, section 5.5) to assist families whose financial

assets were depleted. When the 2011 flood struck, neighbourhood

welfare systems funded small food kitchens until outside assistance

reached the neighbourhoods. In Bang Bua Neighbourhood, the

decentralised and participatory system used to manage distributions

contributed to an overall feeling of trust in regards to how distributions

were handled. In Saphan Mai, a connection was built between opposing

groups with some understanding and trust generated through a leadership

structure that was reportedly top down in nature, yet largely equitable in

its approach to assisting the neighbourhood, according to the majority of

key informant interviews. In Roi Krong, the two governance structures


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worked together temporarily during the floods but returned to their

entrenched positions and existing tensions after the flood.

The ‘bridging’ form of social capital, a horizontal linkage between

neighbourhoods within the canal and more broadly across the country, is

demonstrated through the Bang Bua Canal Network. As stated earlier

leaders in the Canal Network deployed to flooded parts of northern

Thailand to gain flood preparedness and response experience. The Bang

Bua Canal Network was especially utilised by Roi Krong due to the fact that

it was the weaker, smaller governance structure in the neighbourhood and

therefore relied more heavily on the connections and partnerships

harnessed by the whole canal. Even before the flood occurred there was

evidence of inter-communal relationships through anti-drug trafficking

efforts such as the annual drug-prevention day (discussed in Chapter Five)

and canal-wide attempts to reduce pollution (also discussed in Chapter

Five).

Evidence of the ‘linking’ form of social capital can be observed before the

flood at a minimal level when the neighbourhood leaders worked with

Bang Khen district (where Bang Bua and Roi Krong neighbourhoods are

located) and Lak Si district (where Saphan Mai is located) to move

electricity poles from the land side into the canal and during negotiations

for a retaining wall that prevents the canal bank from collapsing once

houses have moved to the land side. When the flood occurred one key

informant from the Bang Khen district office said that the Bang Bua Canal

Network regularly sent one representative to attend district flood

response meetings. Interviewees from Bang Khen and Lak Si districts said

that their main source of frustration was that they were not as equipped

and well-resourced to provide flood assistance as the Bang Bua Canal

Network (KI 37, Lak Si district officer; KI 38, Bang Khen district officer).


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Upon examining the plots layer through the lens of Archer’s three types of

social capital (bonding, bridging, linking) collaboration across multiple

sectors with a range of stakeholders can be observed. The collaboration

patterns in crisis and non-crisis times in the Bang Bua Canal infer that an

area-based approach to disaster resilience is taking place. Parker and

Maynard (2015) define area based approaches as ‘geographically

targeted’; ‘multi-sectoral’; and ‘participatory’. Presently, there is a call for

a shift in paradigm in humanitarian assistance by agencies like ISAC,

USAID, OFDA, ECHO and the Global Shelter Cluster (GSC) to assist entire

neighbourhoods, rather than individual households (Parker and Maynard,

2015). The generalisable key finding from the plots layer is that the

humanitarian sector is retrofitting proven development tools and

methodologies such as settlement upgrading into humanitarian

frameworks. While there are barriers to using development

methodologies in humanitarian contexts, especially during the relief phase

when time frames for savings lives is short, from an early recovery stage

development approaches have been observed in the Bang Bua Canal and

perceived as worthy by key informants interviewed for this research.

10.8 Dimensions of resilience within the buildings and services layer The quality of buildings and overall degree of disaster risk within the built

environment is affected by the potential to access loans at a micro level

and planning and reconstruction processes at a macro level, both of which

are identified as dimensions of resilience in the buildings and services

layer.

10.8.1 Building quality and the politics of participation

In all three case studies lower quality homes were most affected by the

flood. In neighbourhoods, housing accounts for the majority of the


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typologies of buildings (Arendt and Alesch, 2015). In the Bang Bua Canal,

homes that were single storey, built on stilts with wooden flooring and

walls were at best heavily damaged by the flood, and at worst completely

destroyed. The poor quality of building construction can be traced back to

financial vulnerability – inexpensive building materials such as bamboo,

corrugated iron and timber were deliberately used to best cope with the

weather, offer privacy and accommodate construction on marginalised

land, which in this case is the unstable bank of the Bang Bua Canal.

Meanwhile, well constructed two-storey homes that met planning

regulations and risk reduction measures, were instrumental in enabling

flood survivors to live at home, very often with access to running water

and electricity. Other high quality buildings included community and

health centres in all three neighbourhoods. The location of community

centres heavily influenced their usefulness. In Bang Bua Neighbourhood, a

two-storey community centre enabled the neighbourhood to manage

flood distributions for its residents from one centralised location. In fact,

the high quality of the building, the centrality of the neighbourhood plot

within the canal and the efficiency of the governance structure resulted in

Bang Bua Neighbourhood becoming a central hub for the Bang Bua Canal

Network’s activities. In Saphan Mai, the community centre was well built

and had two stories but was out of the reach of vehicular access and

therefore was not used to manage distributions. Instead, the leader’s

home was used as a distribution point. In Roi Krong, the community centre

and health centre were both single storey buildings that flooded, and were

therefore not viable locations to manage the neighbourhood flood

response from. Therefore, it can be observed that reducing flood risk in an

urban environment is best approached through the construction of higher

quality buildings that have multiple stories.


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Additionally, access to financial mechanisms that enable poorer people to

construct homes of adequate quality is important (Satterthwaite, 2014).

Moreover, it is crucial to create space for important economic and social

neighbourhood level processes to take place before the actual building

process begins (Boonyabancha, 2004). Crucially, savings groups can be

established, a new system of governance developed to manage the

building process and social capital fostered was through bonding, bridging

and linking activities.

However, the process for reconstructing buildings after the flood risks

excluding large, fluid populations of renters. While the boundaries for who

qualifies to access land and housing loans needed to be drawn

somewhere, it is observed that the building process in the Bang Bua Canal

included a small number of renters in Bang Bua Neighbourhood and

Saphan Mai Neighbourhood, but did not proceed on a large-scale in Roi

Krong because room rental was a primary income generation activity with

90-200 rooms available for rent. The Baan Mankong programme requires

people to invest in the neighbourhood by committing to 15 year loan

payments; it requires collective action; high levels of trust; and

governance mechanisms that operate like ‘gate keepers’ to enforce rules

of participation and sometimes exclusion. For instance, a home cannot be

bought, sold or willed without prior approval of the committee. Therefore,

it can be argued that the current building model’s intolerance for the

continuation of healthy and vibrant rental markets enforces a rather rural

approach to the dynamic, diverse and fluid housing needs of cities.

10.8.2 Inclusive planning and reconstruction processes

Planning policies at a city-scale and neighbourhood scale are the last two

dimensions of resilience that greatly influenced the buildings and services

layer. A lack of enforcement of planning regulations at a city level resulted

in the construction of vulnerable buildings in the Bang Bua Canal.


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According to key informant interviews and secondary data, the canal is at

risk of a range of climate and non-climate related disasters including

increased severity and frequency of flooding, environmental deterioration,

political risks and economic shocks. Although national and city scale

frameworks and policies exist, it is worth noting that such policies

sometimes require contextualisation or adaptation at a neighbourhood

scale in order to take into account specific risks in specific areas. For

example, flexible planning policies were applied to houses in the Bang Bua

Canal that enabled people to legitimately build their homes closer

together, waiving on-site sanitation regulations and making an exception

to Bangkok’s Comprehensive Plan’s land-use controls (Usavagovitwong et

al., 2013).

Flexibility in the planning process was important and directly contributed

to a more effective building process. All the neighbourhoods experienced

incremental housing upgrading, which allowed people to join when they

felt ready to. For example, Bang Bua Neighbourhood began its upgrading

with its leader tearing down his houses and giving away six out of seven of

his plots. Saphan Mai started with 65 houses before the process

stalemated. However, reconstruction activities recommenced again after

the 2011 flood when the disaster became an opportunity to change the

social dynamics in the neighbourhood, resulting in the upgrading of 45

more houses. In Roi Krong only 25 houses were reconstructed and 12

repaired since the upgrading began in 2004, but perhaps more houses will

join the programme as the context in the neighbourhood changes over

time. Importantly, neighbourhoods and individuals have the flexibility to

manage the planning process in a way that best suits them.

In summary, analysis of the three case studies at the building layer

demonstrates that access to pro-poor financial mechanisms and flexible

planning mechanisms and processes at a neighbourhood and city-scale are


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dimensions for resilience within the building layer. However, the building

layer also illustrates that Baan Mankong’s financial mechanisms exclude

an important part of the housing market: renters, thereby neglecting to

respond to an urban need that housing for poorer urban people must also

address.

In summary the dimensions of resilience identified at the four different

morphological layers can be summarised in one table as shown below in

Table 10.8.2a.

Summary table of the dimensions of resilience in different morphological layers

Topography Civil society networks and partnerships that

collectively produce and share knowledge

Civil society networks and partnerships that demonstrate a capability for analysis, self-representation and agency

Civil society networks and partnerships that fill the gap where government polices and frameworks are not effective


Safety

Inclusiveness

Income generation Plots

Land tenure

Financial mechanisms

Governance structures

Social capital


Building quality and the politics of participation

Inclusive planning and reconstruction processes

Table 10.8.2a: A summary table of the dimensions of resilience in four different morphological layers. Source: the author


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Conclusion

Part I of this chapter sought to re-interpret case study findings by revisiting

general conclusions from each of the neighbourhoods and identifying key

patterns formed by the interaction between economic, governance and

social CAS. Those patterns were then plotted on the morphological layer

where they had the greatest impact, at which point the intersections

between systems and morphology enabled the identification of key


In Bang Bua neighbourhood nine dimensions of resilience were identified

with the majority of the dimensions found in the plots layer where the

greatest degree of positive transformation took place due to security of

land tenure, effective savings groups and governance structures, a strong

sense of group agency, high levels of social capital and a thriving welfare

structure. The dimensions of resilience identified in the Bang Bua

Neighbourhood were mostly positive.

In Saphan Mai neighbourhood eight dimensions were identified, and like

in Bang Bua Neighbourhood, most of the dimensions were found in the

plots layer, and were mostly positive. Saphan Mai also negotiated security

of tenure, had moderate success with its savings group, improved levels of

personal safety and developed the ability to self-organise. However, a low-

level conflict in the governance structures meant that a minority of people

who resisted upgrading were marginalised in the neighbourhood and only

part of the neighbourhood ‘bounced forward’ or transformed physical,

economic and social aspects until the flood occurred, at which point all

individual in the neighbourhood signed up for upgrading.

However, in Roi Krong neighbourhood only four dimensions of resilience

were identified with a mix of positive and negative impact, depending on

the who was impacted. Overall, the dimensions of resilience identified


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mostly built resilience for affluent holders of power in the neighbourhood,

but increased vulnerability for poorer residents. Therefore the dimensions

of resilience in Roi Krong were negative for the majority of people. For

example, neighbourhood safety has not changed after the minimal

upgrading or the flood. Today pedestrian lanes remain poorly lit and are

not well connected, so much so that it prevents police officers from

entering at night unless accompanied by neighbourhood residents. The

resistance to change at the movement networks and public open spaces

level has prevented the neighbourhood from seeing positive

transformation. Additionally, the same resistance to change can be

observed at the building layer where a high number of room rentals are

offered by powerful property owners who resist entering a land sharing

agreement with poorer individuals.

At the end of the discussion of Part I, a table that summarises the key

dimensions of resilience in each case study was presented.

Meanwhile, Part II of this chapter established connections and common

themes between the cases by identifying urban resilience dimensions that

can be generalised within each morphological layer. The first layer, the

topography layer, found networks and external partnerships were

important sources of support when government policies and frameworks

were ineffective or failed altogether. The second layer, movement

networks and public open spaces, found roads and public open spaces

were primarily used for social and economic purposes, and that when

positive changes occur within this layer it resulted in higher levels of

perceived safety, social inclusion and income generation. The third layer,

the plots layer, concluded that when development mechanisms were

introduced and well-received by a neighbourhood, it was likely that those

mechanisms could be adapted during a crisis situation. Securing land

tenure was found to be the first step in transforming plots. Lastly, the


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buildings and services layer found that access to loans was essential to

helping the poor reconstruct robust infrastructure. Moreover, the

planning of houses and the reblocking of the plots layer was most

successful when it was done inclusively.

In summary, the dimensions of resilience in the case studies reflect many

of the principles of development, disaster response, urban design and

planning discussed in Chapter One including a participatory process,

inclusiveness, engagement with local actors and the importance of

accountable systems. The next chapter will explain linkages between the

generalisable findings from the case studies and their link to the

conceptual framework and broader theories from the literature.

Chapter eleven: generalisable key findings

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Chapter eleven Generalisable key findings Introduction

This chapter aims to identify generalisable and transferrable principles

for urban disaster resilience as a concept that exists both in practice and

in theory. It uses analysis from multiple cases as a useful method for

making comparisons between the cases in order to link practice to a

generic body of theory (de Vaus, 2001). The chapter also seeks to

evaluate the conceptual framework’s generalisability by explaining the

ways in which urban stakeholders from academia and practice validated

it. This chapter is structured in three sections.

Section 11.1 seeks to identify generalisable conclusions about the case

studies and their link to the conceptual framework. The aim of section

11.1 is to explain key practical lessons that arise as a result of combining

CAS and morphological approaches that have the potential to assist

neighbourhoods and urban professionals to operationalise resilience.

Section 11.2 seeks to establish connections between the conceptual

framework and general body of theory. Here, four generalised key


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findings regarding the validity of the conceptual framework are

identified. The chapter then demonstrates the generalisability of those

findings by making connections between the conceptual framework and

theories raised in the literature review in Chapter One. A refined

definition of resilience is then proposed based on the revised conceptual

framework.

Section 11.3 is an evaluation of the conceptual framework. The process

for validating the framework and accompanying analytical tool is

described. The process of refining the conceptual framework and

analytical tool is then explained followed by a description of their

strengths and limitations. Table 11.0 below summarises the three section

of this chapter.

Structure of chapter eleven

Section 11.1

Establishes connections between the case studies and the conceptual framework

Generalisable conclusions about the connections between dimensions of urban disaster resilience in the case studies and the conceptual framework are identified for practical application in other contexts.

Section 11.2

Establishes connections between the conceptual framework and general bodies of theory

Generalisable conclusions about the conceptual framework are made in relation to general bodies of theory. A refined definition of resilience is proposed.

Section 11.3

Evaluates the conceptual framework and accompanying analytical tool

The process for validating the conceptual framework and analytical tool is described and reflected upon.

Table 11.0: Provides a summary of the structure used to establish connections between theory and practice in Chapter 11. Source: the author


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11.1 Connections between resilience dimensions and the conceptual framework

This section interrogates the dimensions of resilience identified in the

three case studies in order to understand what can be generalised

beyond this particular study (de Vaus, 2001), especially in regards to

practice.

When the key dimensions of resilience identified in the previous chapter

are plotted on the conceptual framework, three generalisations can be

made that apply to this study and beyond specifically regarding a.) social

CAS; b.) the plots layer; and c.) the rate of change within the built and

natural environment with regards to disaster recovery. Figure 11.1 below

is an illustration of the conceptual framework with key dimensions of

resilience identified in Chapter Ten (Part II) plotted at the intersections

between CAS and morphology. The dimensions were identified through a

cross-case analysis.


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Figure 11.1: the conceptual framework with key dimensions of resilience plotted at the intersections between CAS and morphology. The dimensions were identified in Chapter Ten through a cross-case analysis. Source: the author

a.) Social dynamics are the most influential complex adaptive system

As show in Figure 11.1a above, social dynamics played an important role

in influencing the built and natural environment at every morphological

layer where formal policies, procedures or frameworks failed to support

poorer people. In the absence of money, collective social dynamics or

‘collectivism’ works as a kind of social wealth (Boonyabancha, Carcellar

and Kerr, 2012). This section describes the role of social dynamics and

their influence at four different morphological layers.

Topography layer

At the topographical layer civil society networks and partnerships

became strong and responsive to local needs when disaster management


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policies and frameworks were ineffective. For example, disaster

management policies failed to prevent the 2011 flood from reaching

Bangkok, and later from reducing the flood’s impact (discussed in

Chapter Six and Chapter Ten). Johnson and Blackburn write that cities

have the responsibility to see themselves as part of a ‘global network to

reduce disaster risk reduction’ (2014, p.29). Reducing disaster risk aligns

with governmental mandates to protect citizens.

Movement networks and public open spaces layer

At the movement networks and public open spaces layer new roads and

public open spaces gave neighbourhoods increased channels for

socialising and improving their income generating opportunities by

increasing the permeability of the roads within the neighbourhoods, and

by creating inclusive, safe spaces for people of different age groups and

demographics to socialise in. Jacobs (1961a) notes that successful city

neighbourhoods make safety an asset through clear demarcation of

public and private space and a high level of footfall and visual monitoring

by the proprietors of the street. In a disaster the protection of vulnerable

groups such as women, children, the elderly and PLWD amongst others is

often achieved through safe roads and public spaces such as child

friendly spaces (Phongnonsung and Borchard, 2012) and community

centres where information can be shared.

Plots layer

At the plots layer, the higher the level of social capital in terms of trust

and ability to work collectively towards a goal, the better the financial

and governance mechanisms were able to fulfill their functions. This

aligns with de Soto’s (2000) theory that the poor often have access to

the assets they need, but because they are held in defective forms, the

assets do not advance them. At times of stress or shock, retreating into

small groups to share social and economic forms of support enhances


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coping mechanisms and minimises risk to the group members (Pelling,

2003). In the Bang Bua Canal, the actions taken at the plot layer helped

to build social capital and minimize the risk through collective action.

However, access to secure land tenure (Tarbatt, 2012) and loans through

savings groups (Jabeen, Allen and Johnson, 2010) is also important for

building disaster resilience. In the Bang Bua Canal secure land tenure

made it more likely that individuals viewed investments in financial and

governance mechanisms as low-risk because of their right to access the

land. Loans were also an essential resource for developing high quality

buildings and obtaining access to adequate services (Boonyabancha,

2005). Moreover, they were important ways for the poor to juggle

complex financial portfolios (Moser, 2008) that balance long-term

investments in things such as disaster resistant housing versus short-

term needs such as food and school fees. Lastly, resilience at the plots

layer raised important governance questions, namely who should be

resilient and to what (Lebel et al., 2006).

Building and services layer

At the building layer, inclusive and participatory upgrading processes

developed the resilience of the social fabric alongside the physical

components of buildings. De Soto writes that buildings used to lead an

‘invisible parallel life alongside their material existence’ implying that a

lack of legal right to access land resulted in buildings that were unable to

be turned into capital connected within the broader formalised economy

(de Soto, 2000, p.7). Thus, it is here where links between the

morphological layers and social processes become especially important.

In many ways dimensions of resilience from the plots layer influenced

activities at the building layer. For example, collective social action

achieved access to land at the plots layer in order to proceed with

building construction and improvement of services. Furthermore

governance structures and savings groups from the plots layer enabled


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the reconstruction of homes and neighbourhood buildings through

access to affordable loans. Such loans were only available to people who

formed strong social ties and worked together.

Meanwhile, flexible building and planning policies that are designed to

include poorer urban people have been shown to increase coping

mechanisms for individuals, households and neighbourhoods (Wamsler

and Brink, 2014). At the building layer it became apparent that policies

could only be changed by urban actors such as planners who needed to

be involved in the amendment of housing policies and regulations where

necessary (Usavagovitwong et al., 2013). Through partnerships with

technical experts, people from the Bang Bua Canal upgraded in ways that

improved the robustness of the buildings and access to public services

and utilities for the entire neighbourhood. Overall, inclusive planning

can provide a level playing field for stakeholders, strengthening

transparency and accountability (Habitat III, 2015h).

The dimensions of resilience related to social CAS are highlighted in

Figure 11.1b. The presence of social dimensions of resilience at every

layer suggests that social dynamics is an important CAS for poorer urban

people, and with the support of theory, is identified as generalisable

beyond this case study.


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Figure 11.1a: The conceptual framework with key dimensions of resilience plotted on it. Social dynamics were identified as influential at every morphological layer, therefore suggesting that social dynamics an important CAS for poorer urban people. Source: the author

b.) The plots layer: the most influential morphological layer

The plots layer demonstrated that multi-sectoral investment in

neighbourhood scale complex adaptive systems could result in a more

holistic, collaborative approach for building resilience to chronic stresses

and disaster shocks. Feedback loops (Holling, 2001) exist between

financial mechanisms, governance mechanisms and social capital with

each one influencing the other. The emphasis on multi-sectoral

stakeholders draws from the research findings and theory that urban risk

is often ‘created or exacerbated by local government’s incapacity to act

in the public good, guide urban growth and ensure infrastructure and

service provision’ (Dodman et al., 2013, p.26). A systems approach to

resilience provides an emphasis on complexity and cross-sectoral


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collaboration (Bahadur and Tanner, 2014), which arguably made

investments at the plots layer sustainable.

The four dimensions of resilience – savings groups, land tenure,

governance structures and social capital – identified at the plots layer

reflect a multi-sectoral approach to resilience that is also found in

development and disaster literature. For instance, Boonyabancha (2009)

writes that collective land ownership is key to transitioning

neighbourhoods from informal to formal, which in turn provides

protection against eviction and market forces that drive poorer people to

sell. Moreover, the collective ownership of land encourages collective

responses to problems. Meanwhile, savings groups are noted by

Satterthwaite (2014) to work well when there is trust between people

and accountable governance systems, which is most readily seen at the

plots layer in the Bang Bua Canal. In terms of government structures,

broader theories within development and geography observe that

governance works best when it is transparent, accountable, shares

power, is inclusive in decision-making processes and just (Allen, 2003;

Siisiainen, 2000). Finally, Archer (2009) writes that social capital increases

through collective action against threats such as eviction or disaster

shocks (such as a flood).

Moreover, actions taken at other morphological layers also affected the

success of investments at the plots layer. The learning and sharing of

knowledge (Reed et al., 2014) that results from civil society networks and

partnerships can benefit an entire neighbourhood. Likewise, flexible

planning policies that can be adjusted to suit specific neighbourhood

contexts can also ensure successful sharing of land at the plots layer.

Access to loans that factor social security funding into interest rates can

be of great benefit to some of the poorest people in the neighbourhood

(Satterthwaite, 2014).


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The interaction between the plot and the three other layers enabled

input from different actors such as: the local district government, city

planners, the loan lender, the land lessee and planners assisting with re-

blocking of plots and reaching land sharing arrangements. Development

strategies and tools tend to label such collaborative multi-stakeholder

interactions as Area Development Approaches (ABAs), currently coming

back into fashion in the humanitarian sector (Parker and Maynard, 2015).

Figure 11.1c below shows four dimensions of resilience at the plot layer:

secure land tenure, financial mechanism, governance mechanisms and

social agency. The dimensions spread across all three CAS highlighting

that multi-sectoral investment at the plots layer has a high influence on

resilience.

Figure 11.1b: Four dimensions of resilience are identified at the plot layer: secure land tenure, financial mechanism, governance mechanisms and social agency. Source: the author


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c.) The rate of change that occurs within each layer and disaster recovery time The third connection between the cases and the conceptual framework

is that the rate of change that occurs within each layer impacts recovery

time after a disaster. Evidence from the case studies and general body of

theory suggests that the fastest rate of change occurs at the building

layer (Bolio Arceo, 2012; Whitehand, 1987; Moudon, 1997) and the

slowest occurs at the topography layer (Bolio Arceo, 2012; Moudon,

1997). It can be helpful to urban actors to understand the rate of change

in the built environment, especially after a disaster in order to develop

appropriate recovery timelines and funding for each morphological layer

of the city.

The topography layer of the conceptual framework has traced changes in

land and water over hundreds of years. The topography layer is useful for

long-term forecasting and planning policies on how to sustainably

manage land and water by national governments. For example, Thailand

submitted its first National Communication report to the United Nations

Framework Convention on Climate Change (UNFCC) in 2000 where it

highlighted adaptation priorities for agriculture, water management and

coastal regions (Gass, Hove and Parry, 2011). In its Second National

Communication in 2011, it highlighted progress, changes and constraints,

and reaffirmed that climate variability and extreme weather events are

Thailand’s greatest challenges (Gass, Hove and Parry, 2011). Other key

policies that came up at the topography layer include progress reports

and commitments to the MDGs (Inter-Agency and Expert Group on MDG

Indicators, 2015; United Nations Development Group, 2014) , which have

ended and are now the SDGs (United Nations, 2015b) and the Hyogo

Framework (UNISDR, 2005b), which has also ended and has been

replaced with the Sendai Framework for Disaster Risk Reduction 2015-

2013, adopted in March 2015 in Sendai, Japan (UNISDR, 2015c).

However, the formation of policies alone cannot protect the topography


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layer from negative changes. As was seen in the Bangkok flood case

study, when policies are not effective or enforced, negative

consequences can occur. Other aspects that compliment policy are

important, too, such as financial investment in infrastructure in order to

manage long-term infrastructure risks as well as investment in civil

society and social development.

The movement networks and public open spaces layer sees an increase

in pace of change slightly, but transformation still occurs in this layer

rather slowly and in incremental stages. A comparison between

movement networks around the Bang Bua Canal in 1968 and today (as

demonstrated in Chapter Five) reveals that major roads and streets have

remained relatively the same. Smaller scale roads and alleyways change

much more quickly as was reflected in the individual neighbourhood case

studies. Likewise, large, public open spaces such as temple and university

gardens around the Bang Bua Canal have largely maintained the same

shape and size they held in 1968 as they are today (as discussed in

Chapter Five).

The plots layer changed rather quickly in the three case studies

presented. In Bang Bua neighbourhood the plots changed almost as fast

as the building layer. Nevertheless, changes to plots can also move rather

slowly as it did in Saphan Mai Neighborhood where the plots layer saw

transformation take place over a 14-year period of time. Furthermore, in

the case of Roi Krong neighbourhood the plots have seen even slower

rates of change where the majority of the neighbourhood plots resist any

change at all. In summary, the large surface area of a neighbourhood

encompasses more decision makers to negotiate outcomes within a

larger area of land, and therefore changes often occur more quickly at

the plots layer than the topography layer and the movement networks

and public opens spaces layer. This research suggests that urban disaster


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recovery professionals should consider the benefits of investing in land

tenure, financial and governance mechanisms alongside social capital

before they design interventions, particularly for aid agencies taking an

area-based approach.

The buildings and services layer is the smallest scale and therefore the

easiest of all the layers to modify. Under the right financial conditions

buildings can be modified or reconstructed, regardless of legal access to

land. For humanitarians this means that buildings are one of the easiest

layers to intervene in, especially because the outcome is concrete and

tangible, therefore, arguably more appealing to donors than intervening

in ‘soft’ areas such as financial or governance mechanisms observed at

the plot layer. However, this research demonstrates that interventions in

buildings alone do not improve the resilience of a neighbourhood.

Investment is also required in social, economic and governance aspects

of neighbourhood living.

11.2 Connections between the conceptual framework and theory

This section reflects on the conceptual framework and existing bodies of

theory, seeking to demonstrate that the new framework is sound, valid

and provides a logical way of interrogating disaster resilience. Five key

generalisable conclusions are drawn that suggest the confluence of

morphology and systems approaches can in fact be combined as a new

conceptual framework for understanding urban disaster resilience.

a.) A people-centred approach

Perhaps most importantly, this conceptual framework puts people at the

centre of building urban disaster resilience. It prevents actors from

making the assumption that interventions in the built or natural


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environment alone will improve urban disaster resilience. Instead, the

framework highlights the ways in which the built form interacts with

three complex adaptive systems – economic, governance and social. For

example, an intervention at the building layer of the framework

illustrates that constructing a building has economic, governance and

social implications. Conversely, it also shows the importance of a quality

built environment and the ways in which the built environment affects

people’s lives.

b.) Simultaneous analysis of disaster and development risks

The literature review in Chapter One suggested that risk is often analysed

in silos: humanitarians approach analysis from a disasters perspective

while development practitioners view risk from a development

perspective (Collins, 2009). This conceptual framework analyses disaster

and development risk together, recognising that the separation of types

of risk – chronic versus disaster – is largely an academic exercise, and

that in reality people from low-income neighbourhoods do not separate

the two (Bene, 2013). Therefore, the when analysing urban disaster

resilience it is imperative everyday risks and disaster risks are considered

together.

c.) Scalar and temporal analysis

Using morphology to interpret the qualities of human interaction with a

city’s urban fabric allows a flexible approach for analysing different scales

of the built and natural environment (Moudon, 1997). Meanwhile, a

systems approach that analyses access to power and the distribution of

resources at a range of scales is crucial for understanding factors internal

and external to the scale of analysis (Tyler and Moench, 2012).

However, because the quality of human interaction within a city’s urban

fabric is always evolving, it is important to be able to take a snapshot in


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time in order to have a ‘baseline survey’ of vulnerability, risk, capacity

and dimensions of resilience at a specific point in time in order to

compare states of existence across time (Walker et al., 2004). For

example, a snapshot could be taken before, during and after a disaster,

in order to assess the state of power, equity and quality of life. A

snapshot in time is a helpful way to determine changes that have taken

place and the primary dimensions responsible for the change.

Morphology and CAS approaches analyse links with history, which are

often reflected in the present structure of a system (Juarrero, 2000),

suggesting morphology and CAS are useful approaches to analyse scale

and time.

d.) Using intersections between morphological layers and CAS to identify

dimensions of resilience

The conceptual framework seeks to demonstrate that intersections

between CAS and morphology identify dimensions of resilience at a

range of scales across disaster and development contexts. The

intersections between the built and natural environment and the CAS

systems are where dimensions emerge as key influencers of change.

Resilience dimensions are identified through interrogating complex

interactions between CAS and morphology by deconstructing

complicated feedback loops (Juarrero, 2000) with fuzzy boundaries (Bar-

Yam, 1997b) about where interactions begin and end and analysing

seemingly chaotic and non-linear patterns of behavior that have inter

and intra-dependent causal relationships (Wallace and Wallace, 2008).

Analysis of feedback loops provides the opportunity to draw conclusions

about the basins of attraction (Walker et al., 2004) at each morphological

layer; much like humanitarian aid workers strive to develop a baseline

survey of key elements of an environment. The basins of attraction are

useful because they allow qualitative judgments about the overall state

of a neighbourhood to be made. The basin of attraction may need to be


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altered to reduce risk and build resilience; or, it may have reached a

threshold that requires transformation (Pelling and Manuel-Navarrete,

2011) because it holds high levels of risk or a transfer of power is taking

place. In order to interpret what the feedback loops in the conceptual

framework tell us, we must first clearly define resilience for whom and to

what.

Furthermore, the intersections in the conceptual framework assist to

identify issues for intervention at different morphological layers from an

economic, governance and social perspective. Identifying key issues at a

particular morphological layer has the potential to assist with the

identification of appropriate actors to collaborate on the issue, be it at a

practical level or through policy-based work. Such actors can include

urban planners and designers, architects, politicians, governments

(district, city and national levels), the private sector, universities,

emergency personnel (police, fire and ambulance), the army and aid

agencies.

e.) Resilience is built before and after a disaster

Dimensions of risk are created through human design (Arendt and

Alesch, 2015) and therefore can be countered through a lens that

considers how humans interact with the designs of built form and natural

environments that host the built form.

Before a disaster

It is worth recapping that vulnerability in cities and towns arises when

people have limited access to income and employment; inhabit

inadequate and insecure homes on insecure land; are unable to access

adequate infrastructure and services; are at risk of natural hazards or

environmental health risks; have limited mobility or access to

transportation or face discrimination due to issues of exclusion (Moser,


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2008). It is therefore important to mitigate these chronic and disaster

risks and to prepare for uncertain events that might surprise us (Boin,

Comfort and Demchak, 2010). Essentially, it is crucial to build a fail-safe

environment (Jha, Bloch and Lamond, 2012). In other words, it is

important to create an environment that is able to fail safely by

maintaining its basic functions without causing the entire system, be it a

neighbourhood or a city, for example, to collapse. Therefore, this

research concludes that building resilience takes place before a disaster

occurs as is indicated in Figure 10.5.2a where arrows along the four

morphological layers indicate activities before a disaster.

Figure 11.2e: An illustration demonstrating that resilience building occurs before a disaster strikes as indicated by the arrows on the left. The dotted lines in the graphic illustrate the four morphological layers where resilience building takes place. The middle section indicates that the disaster event serves as a test of resilience. Source: the author

The disaster event

The disaster event tests the ways in which CAS and their components

adapt to maintain basic function without causing the whole system to

fail. Essentially, the scale of resilience under interrogation – be it a


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household, a neighbourhood, or a city, for example – is considered

resilient if there is little difference between pre and post shock states of

affair (Alfani et al., 2015). As analysis of CAS in this research has shown,

there are many ways components of a system adapt to shocks and

stresses, depending on the system and morphological layer under

examination. Some examples may include networks and how they adapt

mechanisms for managing information, coordinating needs assessment

and cooperating to distribute supplies at the topography layer.

At the movements and open public spaces layer mechanisms for

transportation may adapt from pedestrian or motorized access to boats,

as seen in the 2011 Bangkok flood. The importance of public open spaces

during a disaster may change from very important to not at all

important. For example, during the 2011 Bangkok flood public open

spaces were submerged and therefore not important. However,

immediately after an earthquake public open spaces may become

important places for sheltering people whose homes have been

damaged or destroyed.

At the plots layer adaptation may include the ways in which financial

mechanisms such as savings groups support member needs during and

after the flood. The plots layer may also give consideration to

governance systems and how they adapt to support needs during a crisis

in terms of who they include in decision-making, how decentralised

management structures are and the ways in which they demonstrate

accountability.

At the building layer the ways in which use of community buildings is

adapted is also a test of resilience – are the most vulnerable protected by

having access to adequate shelter and services? It is worth noting that


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the concept of adaptation within systems is the reason great value is

placed on complex adaptive systems (Levine, 1998).

After a disaster

The disaster will have exposed weaknesses and strengths, vulnerabilities

and capacities that when analysed through a CAS and morphological

framework will identify dimensions of resilience at different scales. The

disaster will highlight development mechanisms that worked effectively

and those that did not, providing an opportunity to build back better in

the truest sense, if analysis is carried out before and after the disaster to

draw a comparison during the post-disaster recovery phase. Figure

10.5.2b below is an illustration demonstrating that resilience building

occurs before a disaster strikes and again during recovery from a

disaster. The disaster event in essence serves as a test of resilience.

Figure 11.2f: An illustration demonstrating that resilience building occurs before a disaster strikes and again after the disaster as indicated by the arrows on the right and left. The dotted lines in the graphic illustrate the four morphological layers where resilience building takes place. The middle section shows that the disaster event serves as a test of resilience. Source: the author


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11.3 Evaluation of the conceptual framework and analytical tool

This section describes the process of validating the analytical tool

(introduced in Chapter Four) and the conceptual framework (introduced in

Chapter Three). It begins with an explanation of the analytical tool then

discusses the process of validating the framework and tool, key

refinements that were made as well as identified strengths and

limitations. Figure 11.3a below is an illustration of the conceptual

framework and Figure 11.3b depicts the corresponding analytical tool

under discussion in this section.

Figure 11.3a: A conceptual framework that blends CAS and morphological approaches into a single framework for interrogating urban disaster resilience. Source: the author


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11.3.1 Analytical tool

As introduced in Chapter Three, and subsequently used as the basis for

analysis in the case studies, the analytical tool has been devised to

translate the conceptual framework into practice. This urban derived tool

is a matrix that can be used in disaster management practice by

populating it with information before or after a disaster at a

neighbourhood, city or national scale. This tool has particular utility

because it employs urban approaches that analyse disaster and

development risk simultaneously at different periods of time.

The names in the tool are as jargon free as possible in order to allow

people with a range of backgrounds to use it with ease. The names of the

complex adaptive systems are presented in the top of the matrix

alongside a brief description that translates the title. For example, the

economic CAS heading ‘economic forces’ is described as ‘things that

provide economic benefit such as money, markets, businesses, rent, jobs,

savings, loans, credit, ownership and skills’, giving a number of examples

for the practitioner. The morphological layers presented on the left side of

the matrix also have short descriptions. For example, the ‘plots’ layer is

described as a ‘parcel of land’.

Uses of the analytical tool

The tool translates theory into practice by allowing the practitioner to

document patterns formed by CAS and plot them on the morphological

layer where the greatest amount of impact is seen. If significant CAS

patterns form within multiple layers, then it is appropriate to record them

at each layer. The intersections between CAS and morphology can be

viewed as dimensions of resilience. Further analysis of power is required

in order to understand if those dimensions are positive or negative by

analysing resilience for whom and to what.


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This tool provides an opportunity to undertake context analysis and pre-

and post-disaster assessments. The matrix format reflects Anderson and

Woodrow’s (1998) classic capacity and vulnerability assessment tool in

that it creates simple categories for the user to populate information into.

The tool can also be paired with the SWOT (strengths, weaknesses,

opportunities and threats) analysis methodology as shown in Table 11.3.1a

below. The same information can be added to as many boxes as

necessary, recognising that reality is complex and the physical and natural

layers overlap with various systems.

Table 11.3.1a: The urban disaster resilience analytical tool paired with SWOT analysis methodology. Source: the author

11.3.2 Validation of the conceptual framework and analytical tool

The purpose of validating the conceptual framework and analytical tool

was to identify generalisable aspects of both framework and tool beyond

this research. The validation process took place with 69 participants from

15 countries. Participants were from two universities and one aid agency.

The first workshop occurred at the Norwegian University of Science and

Technology (NTNU) with 14 participants; the second at the British Red


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Cross (BRC) with 27 participants; and the third at the Centre for

Development and Emergency Practice (CENDEP) at Oxford Brookes

University (OBU) with 28 participants. Comments from the three

workshops will be annotated in this chapter according to the institution

the participant came from, for example CENDEP, NTNU and BRC. The

university participants included students from Masters and PhD

programmes as well as professors from the disciplines of development

and humanitarian aid, urban planning and design, urban ecological

planning, geography, architecture and real estate and construction.

Participants from the British Red Cross were from 13 sub-sections of the

international development department, many of them from regional

desks (Asia, Africa etc.) and sectoral areas (health and care, accountability

etc.).

To validate the generalisability of the conceptual framework and analytical

tool with the university participants, students were asked to apply the

urban disaster resilience framework to their research. As part of ongoing

academic work, Masters and PhD students from both of the university

groups were conducting research on a total of 15 different case studies,

13 of which were linked to a development or disaster themes. A

presentation of the conceptual framework was given and then the

university students were asked to apply the conceptual framework and

analytical tool to their case studies. The most relevant case studies

included urban violence, earthquake, cyclone, flood, fire, refugees and

internally displaced persons (IDPs), and conflict.

Meanwhile, the generalisability of the conceptual framework and

analytical tool were validated with the British Red Cross through a seminar

and discussion. All of the BRC participants were working on live

development and disaster projects and were asked to discuss the

transferability of the framework and tool to their own projects.


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11.3.3 Refinements to the conceptual framework resulting from the

validation process

The definitions of the CAS systems and morphological layers were refined

and nuanced based on discussions with the participants. For example,

groups at NTNU suggested giving more examples in each of the

morphological layers for those who are less familiar with urban

morphology classifications. Participants from all three institutions

suggested adding an ecological, environmental or natural category to

accommodate factors like climate change or natural hazards such as

earthquakes. While environmental change is already accounted for in the

topography layer, further emphasis of this fact was added by retrofitting

the definition of the vertical axis on the analytical framework to say ‘built

and natural environment’. Participants from CENDEP reflected that many

low-income countries do not use the term ‘plots’ and would better

understand the analytical framework if the plots layer was titled ‘a parcel

of land’, and thus the colloquial language was introduced into the

analytical tool.

11.3.4 Strengths

The participants felt the conceptual framework and analytical tool had a

number of strengths, including its usefulness for context analysis, its

holistic approach and its adaptability to other contexts. Figure 11.3.4a is a

sample of the comments from participants at NTNU regarding the overall

usefulness of the framework and tool.


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Figure 11.3.4a: A sample of the comments from participants at NTNU regarding the usefulness of the conceptual framework and analytical tool. Source: the author

Useful for context analysis

In response to a question about the usefulness of the framework and tool,

participants from all three groups felt both were useful for conducting a

context analysis (CENDEP, NTNU, BRC). One participant from the British

Red Cross said it was a ‘helpful framework that captures a snapshot of a

city in time’. Another BRC aid worker said, ‘this helps with asking the right

questions when you do context analysis’. A discussion within BRC was


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then held between participants who suggested the framework could be

used to do a vulnerability and capacity and SWOT analysis. One BRC

participant who was working on a slum-upgrading project in post-

earthquake Port au Prince, Haiti, felt the tool could be used for monitoring

and evaluation by using project indicators.

‘Holistic’ and ‘comprehensive’

Participants from the university groups reflected that the conceptual

framework and analytical tool were useful because they were ‘holistic’

and ‘comprehensive’, drawing links between the past and present (NTNU,

CENDEP). One group said that cross-referencing physical and natural

aspects with economic, governance and social systems was helpful in

identifying ‘levers of change’ (NTNU). Another said that the focus on the

physical changes of an area was a helpful way to understand an urban

context, and how the social, economic and political CAS interact (NTNU).

Some of the participants from CENDEP felt a broad range of urban actors

such as neighbourhood residents, planners, architects, engineers and aid

workers, could use the tool. They also suggested that the tool could be a

useful basis for area-based programming (CENDEP).

Easily adaptable to other contexts and case studies

While initially developed to be used in low-income countries, specifically

in low-income urban neighbourhoods vulnerable to flooding, three rounds

of validating with participants has identified that by adapting some of the

categories, the framework is applicable to a wider range of urban contexts

and hazards – from urban violence to IDP movements to natural hazards.

Nearly all of the student participants were able to populate the tool with

information from their case studies (CENDEP, NTNU), except for the case

study on bicycle land planning (NTNU). For example, in a Nigerian case

study on IDPs (CENDEP), it was felt that the topography layer could

include natural resources such as oil and gas in its definition.


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One group that was working on a case study of slums in Addis Ababa,

Ethiopia said analysis of the physical aspects in relation to key systems

was helpful in understanding how slums came about (NTNU). In a BRC

project on conflict in South Sudan, ethnicity is a big driver of risk and

resilience in urban spaces, and British Red Cross aid worker, therefore

suggested the inclusion of ethnicity in the definition of social dynamics.

Another participant from BRC said the conceptual framework and

analytical tool reflected ‘exactly what we are working on’ in Port au Prince

after the earthquake. The following vignette expresses the transferability

in the words of a British Red Cross aid worker:

Figure 11.3.4b: A vignette from a British Red Cross aid worker about the transferability of the conceptual framework. Source: FGD BRC

“We are finishing off our programme in Haiti. We did a lot of response and recovery work early on after the disaster, but then we focused on a community that is more of a slum environment in Port au Prince. “It’s been really interesting to see how the combination of all these points you say can really maximize resilience moving forward. The community where we work in used to flood yearly. It was surrounded by a canal that was a couple of meters wide. There were 4000 people living there. There was no sewerage clearing. There was no rubbish collection.... The flooding would come up to waist level, so people would stop working and going to school. There were really high levels of cholera and other diseases. It is very dense so safety was very poor with a lot of drug issues and crime. “We paved over the canal, which stopped the flooding and then we put in drainage so when it does flood the water drains off. This is all with the community’s input. It took nine months before we did anything because we were working with the community to find out what their problems were because it’s not always apparent what problems they suffer. If you visit them outside of the rainy season you might not see the impact of flooding or cholera. But then throughout the year you see massive change. “What you’ve presented is exactly what we are working on. It’s nice to see.”


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11.3.5 Limitations

There were several limitations with the framework that have been

addressed. One person from BRC asked where the disaster event is

reflected in the conceptual framework. After some discussion it was

concluded that the framework is best used before or after a disaster

because it captures risk, capacity, vulnerability, threats and opportunities

at a specific point in time, but does not focus on assessment of basic

needs (food, water, shelter), which is essential information for

humanitarians focused on saving lives in a disaster (BRC).

One group said their lack of historical knowledge about their case study on

Haiti made it difficult to populate the matrix because they did not have

enough information immediately at hand (NTNU). All three workshops had

one person who felt the box format of the tool was problematic because it

restricted thinking into linear categories and does not adequately show

the overlaps that occur (CENDEP, NTNU, BRC). This concern is addressed

by referring to the conceptual framework, which serves as a visual

reminder that CAS are interdependent. Finally, one person from CENDEP

felt that the tool would be more helpful if it was three dimensional to

more accurately represent the time continuum. This limitation was not

able to be addressed within the present format of the conceptual

framework and analytical tool. Figure 11.3.5a below gives a sample of the

comments from NTNU participants indicating what could be strengthened

in the conceptual framework and analytical tool.

Figure 11.3.5b below is a sample of the analytical tool applied to a case

study of the 2010 Haiti earthquake by students from NTNU. Arrows are

drawn in the boxes to show linkages between the morphological layers

and CAS. The Figure shows the morphological layers described only as

physical at the time of validating. They have since been changed and

described as ‘layers of the built and natural environment’.


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Figure 11.3.5a below is a sample of comments from participants at NTNU regarding the aspects of the conceptual framework and analytical tool that could be strengthened. Source: the author


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Figure 11.3.5b: A sample of the analytical tool applied to a case study of the 2010 Haiti earthquake by students from NTNU. Arrows are drawn in the boxes to show linkages between the morphological layers and CAS. Source: the author


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Conclusion

This chapter set out to explain key generalisable findings from the

research. It began by explaining key connections between case study

findings and the conceptual framework, noting three connections in

particular. Firstly, the role of social dynamics was highlighted, concluding

that living in an informal settlement and working in an informal economy

requires an aspect of positive social dynamics at every morphological

layer. Social dynamics affect activities within all other CAS. Secondly, the

importance of a holistic approach at the plots layer was highlighted

concluding that effective change at a neighbourhood or individual level

requires strategies such as savings groups, security of tenure, good

governance structures and high levels of social capital to achieve a

transformative and lasting impact. Thirdly, knowing that different

morphological layers change at different rates can inform urban

professionals engaged in disaster reconstruction to develop appropriate

timelines for recovery.

The chapter then explained the connections between the conceptual

framework and broader theory, illustrating key generalisable points of the

framework, such as it is a people-centred approach; it attempts to bridge

the gap between disaster and development paradigms; it considers time

and scale; it identifies dimensions of resilience and risk; and lastly, it views

disasters as a test of resilience, all of which align with broader theories in

development and disaster studies.

The last section of the chapter provided an evaluation of the conceptual

framework and analytical tool used throughout the research. It began with

an explanation of the analytical tool, noting that the tool is intended for

use by practitioners wanting to identify entry points for interventions into

a neighbourhood, whom first require an in-depth context analysis that

considers the history of an area and the systems that shape it. The process


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for validating the conceptual framework and analytical tool was then

explained, highlighting that 69 urban professionals participated in the

review process and 15 case studies were applied to both the framework

and tool.

Following the process of validation, the conceptual framework and

analytical tool were both refined, primarily by clarifying definitions used to

describe the morphological layers and CAS. The chapter then reviewed the

key strengths of the framework and tool as listed by the urban

professionals who reviewed them. The primary strengths articulated

included the holistic and comprehensive nature of analysis; ease of

adaptability to other contexts; and usefulness as a context analysis

framework and tool. Some of the limitations listed were that the boxes

limited visualisation of the overlaps between systems and morphological

layers, which was addressed by encouraging users to add arrows and list

pertinent information in every category, even if it results in doubling up on

details.

In summary this chapter focused upon drawing connections between

cases, the conceptual framework and theory in order to demonstrate the

generalisability of both the framework and tool at a theoretical and

practical level. The next chapter will provide a conclusion to the overall

research, reflecting on the problem statement and the ways in which the

research achieved its aim and objectives.

Chapter twelve: conclusion

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Chapter twelve Conclusion

Introduction

This chapter reviews the process of meeting the research aim and

objectives, in order to identify this thesis’s contribution to new knowledge

and further opportunities for research. This chapter is organised into three

sections. The first section identifies the ways in which the research meets

its aim and objectives by reviewing the methodologies employed to

achieve them and evaluating the strengths and weaknesses of the

research method. The second section explains the research’s new

contribution to knowledge from a conceptual and practical basis. The third

section provides recommendations for future research.

12.1 Meeting research aim and objectives

The research began by identifying a research question. The assumption

was that few theories, frameworks, tools and models adequately explore

disaster resilience in cities (IFRC 2010). The new urban reality of density

and dynamism is a mismatch for the rural assumptions and traditions that


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underpin much thinking in humanitarian aid (Ramalingam 2012).

Therefore, the question that formed the basis of this research is: What is

an appropriate approach for understanding urban disaster resilience in

low-income settlements?

Based upon the research question, an overall aim to develop and validate

a conceptual framework for understanding urban disaster resilience in

low-income neighbourhoods was developed. To achieve the aim, the

research set five objectives, namely:

1. Objective one: to formulate a conceptual framework for exploring

disaster resilience in low-income neighbourhoods.

2. Objective two: to develop a methodology for analysing disaster

resilience within low-income neighbourhoods.

3. Objective three: to apply the methodology in three low-income

neighbourhoods to identify key findings and dimensions of

resilience.

4. Objective four: to validate findings and the conceptual framework

with key actors.

5. Objective five: to identify the generalisable results of the case

studies and conceptual framework for building urban disaster

resilience in low-income neighbourhoods.

Respective thesis chapters correspond with meeting one of the five

objectives. Objective one, to formulate a framework for exploring disaster

resilience, was achieved through the research method of a literature

review of key theories on urban, disasters and resilience (Chapter One).

Having carried out a literature review, urban form was identified as a

crucial lens for understanding vulnerability and resilience. Likewise,

complex adaptive systems (CAS) were identified as a key approach for

understanding how component parts of urban environments interact and


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overlap to create the emergent behaviour of a neighbourhood as a whole.

Therefore a conceptual framework for interrogating urban disaster

resilience was developed based upon urban morphology and CAS

approaches (Chapter Two). A strength of this research methodology was

that it took a holistic approach to the literature review by focusing on

theory and practice. Moreover, it reviewed literature from a number of

disciplines including development and disaster theory, geography, urban

design, urban planning, ecology and psychology. A challenge was to

include all of the literature on resilience because it spans such a broad

scope of disciplines. Another challenge was the fact that the review was

conducted in English, thus omitting information on urban disaster

resilience in other languages. Nevertheless, an in-depth literature review

of theory and practice resulted in a sound conceptual framework for

interrogating urban disaster resilience, achieving the first objective.

The second objective was to develop a methodology for analysing disaster

resilience within low-income neighbourhoods. This was achieved through

a case study approach that utilised data collection methods such as semi-

structured interviews with key informants, morphological tools, PRA tools,

FGDs, transect walks and review of secondary data (explained in Chapter

Three). The research methods were chosen for several reasons. Firstly, the

use of spatial tools, such as maps, was important for capturing

morphological data. Secondly, methods such as PRA tools, FGDs and semi-

structured interviews with key informants recognised people who live in

the areas as the most knowledgeable of their circumstance, and allowed

for rich expression of diverse attitudes, perceptions and opinions. Lastly,

transect walks and a review of secondary data allowed the author to

triangulate information gathered through the other methods. The diverse

range of qualitative methods was designed to ensure that data collection

met the requirements set out in the framework’s morphological layers and

CAS.


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The third objective was to apply the methodology in three low-income

neighbourhoods to identify key findings and dimensions of resilience. The

methodology was applied to a study of the chronic and acute stresses at a

city-scale in Bangkok and the overall Bang Bua Canal before the 2011 flood

in Chapter Five, and during and after the flood in Chapter Six. In the

interest of investigating a finer resolution of scale, the methodology was

then applied to three case studies at a neighbourhood scale with analysis

of Bang Bua Neighbourhood in Chapter Seven; Saphan Mai

Neighbourhood in Chapter Eight; and Roi Krong Neighbourhood in Chapter

Nine, examining events that took place before, during and after the flood.

Patterns were examined in the case studies and key findings were

developed by using three data analysis methods: morphological analysis

for spatial data; context analysis and coding for other data collected

through PRA; and semi-structured key informant interviews and FGDs

along with other methods listed in the second objective. The coding

assisted with identifying themes within a large amount of data.

Meanwhile, the morphological data assisted with categorisation of data at

relevant urban layers. Finally, the context analysis data assisted with a

historical understanding of the factors that shaped the urban context of

today. Coding was particularly helpful because it allowed the author to

allocate evidence to multiple themes to develop a more realistic

understanding of the overlapping and interconnected aspects of disaster

resilience in urban centres. The key findings were then plotted on the

conceptual framework to identify dimensions of urban disaster resilience.

The fourth objective was to validate findings and the conceptual

framework for building urban resilience with key actors. This was achieved

through validating initial key findings in a focus group discussion format

within each of the three neighbourhoods as explained in Chapter Ten.


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The findings were then reinterpreted by triangulating information

provided by the neighbourhoods, key informant interviews and secondary

data sources such as documents and maps. Dimensions of disaster

resilience were then identified and plotted on the conceptual framework

in order to make connections across the case studies.

The fifth objective was to identify the generalisable results of the case

studies and conceptual framework, therefore identifying findings relevant

to contexts beyond this case study. To achieve this, Chapter Eleven made

connections between the case study findings and the conceptual

framework that concluded that three general observations could be made,

including that social dynamics is the most influential CAS for poorer urban

people; that the plots layer was the most influential morphological layer;

and that the rate of change within the morphological layers and systems

will influence disaster recovery timelines. Five generalisations were then

made about the conceptual framework, based on support from theory.

Firstly, the framework was found to be a people-centred approach.

Secondly, it was felt to have bridged the gap between disasters and

development paradigms. Thirdly, it provided an opportunity to conduct

scalar and temporal analysis. Fourthly, It used the intersections between

morphology and CAS to identify dimensions of resilience and risk. Fifthly, it

approached the disaster event as a test of resilience.

In Chapter Eleven the conceptual framework and accompanying analytical

tool were validated through three workshops with a total of 69

participants. Both were refined based on feedback from participants.

Thus, the objective of to identify of identifying generalisable results of the

analytical tool and conceptual framework were achieved in Chapter

Eleven.


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Thus, by seeking to meet each of the objectives, the overall aim of

developing and validating a conceptual framework for understanding

urban disaster resilience in low-income areas was achieved.

12.2 Reflections on the research methodology

Overall the research method used to develop a conceptual framework for

building urban disaster resilience was relevant and sound. It employed a

range of data collections tools and methods; allowed for triangulation of

data; and enabled the author to validate key findings. Inevitably however,

as is part of the research process where it is assumed approaches can

always be improved upon, several limitations and strengths with the

methodological framework can be identified.

12.2.1 Limitations

As within any piece of researcher, care must be taken to limit researcher

bias as much as possible. To ensure credible research the investigator

must demonstrate a true picture of the case study under investigation.

Within the data collection phase, care was taken to remove bias by asking

open-ended questions that did not lead the respondent and approached

the topic neutrally. When listening to answers, care was taken to ensure

that the investigator did not influence answers with facial expressions or

body language. When answers were given that appeared to be answers

that pleased the researcher but did not seem to ring true, the researcher

politely challenged the interviewee in a friendly manner. Biased samples,

where people are selected for interview who do not represent the

majority of the population, were avoided by using random sampling as

well as seeking out groups of people who were not power holders in the

neighbourhoods and did not often voice their opinions. Finally, critical self-

reflection journals were used on a daily basis to sort through the


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information collected and demonstrate transparency in the data collection

process and overall research methodology.

Two other key limitations within the research stand out.

Availability of accurate maps

Physical information about the neighbourhoods was important to this

research, and maps can provide crucial data. However, maps with updated

information were not widely available. BMA’s building use maps were

highly detailed but despite obtaining maps with information from 2014,

the map of Bang Bua Neighbourhood still shows houses encroaching over

the canal, even though all of the houses had moved on land by 2007. The

Roi Krong upgrading committee said it did not possess any of the maps

that had been drawn for it by partner organisations. Saphan Mai had two

versions of their neighbourhood plans but nether version reflects the state

of the neighbourhood today. Even Google maps were out of date, showing

Bang Bua Neighbourhood spread out over top of the canal.

Use of PRA tools

The PRA tools used in the research required tailoring due to the fact that

activities such as drawing maps had been done during the upgrading as

part of the negotiating process. Canal dwellers were not interested in

carrying out activities they had already done with other partners or

facilitators. They were however enthusiastic and committed to PRA

activities related to the flood presumably because it provided the

opportunity for reflection and learning regarding what is now a historical

event.

12.2.2 Strengths

The following strength within the research methodology stood out.


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Analytical tool enhanced communication

The analytical tool became an immensely useful for communicating the

conceptual framework to a range of urban practitioners. The tool

translated concepts into everyday language in order to validate the

generalisability of the conceptual framework.

12.3 Contribution to knowledge

The new contribution to knowledge embodied in this thesis is, it is

believed, is that the conceptual framework and analytical tool are urban

derived and use urban methodologies and approaches to interrogate the

impact of urban disasters. The conceptual framework is theoretically

informed on the one hand and the analytical tool is practically based on

the other. The theoretical foundation of the framework is intended to

helps researchers deconstruct a context, to identify key findings and to

generalise them. The case study approach can also offer practice a new

contribution, making theory operational in its use.

12.3.1 Theoretical contribution

The research makes a new contribution to knowledge through achieving

its aim of developing a conceptual framework that understands resilience

from a space-based systems approach. By analysing urban vulnerability

and risk in the built form and recognising the complexity of overlapping,

adaptive systems, the research was able to gain insights into the

dimensions that build resilience and those that create risk. As systems and

the urban environment co-evolve, adaptive behaviour on many scales

takes place. Whether a neighbourhood, city or nation is on the edge of

chaos depends upon many complex factors including the speed at which

feedback loops occur and the ways in which they influence each other; the

capacities that exist within a larger system and its component parts; the

changing external and internal environmental conditions; and the

threshold a particular system has before it collapses and transforms into a


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new basin of attraction, and b whether this is positive or negative. When

combined with morphology, a complex adaptive systems approach

recognises the context dependent nature of understanding an urban

environment. The conceptual framework seeks to contribute to new

knowledge by using urban theories to define resilience before, during and

after a disaster to identify patterns and the dimensions that build

resilience.

The patterns and dimensions have established that resilience is built

before and after a disaster, and that the disaster itself is a test of how

adaptive systems and the built environment are in terms of learning from

historical shocks and stresses and having the capacity to maintain a basic

level of functioning. Therefore, based on the conceptual framework, urban

disaster resilience can be defined as the ways in which the built

environment, complex adaptive systems and people interact to cope,

adapt and transform in order to reduce disaster risk.

12.3.2 Practice-based contribution

The practice-based contribution is two fold. The first part is the analytical

tool and the way it translates theory into practical means by conducting a

context analysis, a capacity and vulnerability assessment or as an

evaluation tool if paired with project indicators. It is anticipated that the

tool can be used by a diverse group of urban practitioners, including low-

income neighbourhoods, aid agencies, urban planners, designers,

architects or any other actor interested in assessing a component part of

an urban area (or as a whole) and the scalar influences from a local to a

national, regional or global level, depending on the type of information

required.

The second part is around the definition of resilience and the ways in

which the concept can be operationalised by identifying dimensions of


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resilience. After identifying dimensions of resilience, neighbourhood

residents and their partners can then agree on activities that engage the

dimensions of resilience. The co-evolution of urbanisation and risk has

meant more density and diversity packed into smaller spaces. This means

it is even more important to draw in key urban actors involved in shaping

the built and natural environment into mainstream development

processes. Moreover it is important to ensure the stakeholders engage in

processes that are participatory, inclusive, foster social capital and good

governance. Figure 12.3.2a below shows a graphical depiction of the

practical and theoretical contributions to knowledge indicated with black

arrows at the completion point of the research design.


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Figure 12.3.2a: Practical and theoretical contributions to knowledge are indicated with black arrows in the research design above. Source: the author


Page 409

12.4 Recommendations for future research

The research process has identified three areas for potential future

research, namely the role of technology, the quandary of how to assist

renters, and the potential for using the conceptual framework within

urban displacement contexts.

12.4.1 The connection between technology and resilience

Pursuing the way in which technology for social communication impacts

resilience is an important area for research. In the case of the Bang Bua

Canal during the 2011 floods, poorer people were using traditional modes

of communication such as public loud speakers more than they used new

forms of technology such as apps and websites to seek and share

information.

However, in the few years that have passed since 2011, including during

the completion of this thesis, technology has rapidly developed, becoming

cheaper and more accessible to poorer people. Cellphones for example,

and, increasingly, smartphones are ubiquitous. While data collection was

taking place by the author, residents from the neighbourhoods were also

collecting data on the research project by documenting the dates and

locations of the author’s work through group chat apps such as Line on

tablet devices that were not affordable a few years earlier. This suggests a

study of how urban settlements utilise technology during a disaster could

provide some insight into further dimensions of resilience.

12.4.2 The quandary of how to help renters

The situation of renters could provide an interesting opportunity for

further study. In general providing rental accommodation after a disaster

is difficult due to the damage and destruction of homes. Further research

into how to create more rental accommodation after a disaster would

benefit both humanitarians and professionals who create the city such as


Page 410

urban designers, planners, government officials and developers.

Furthermore, research into the impact on rental markets after settlement

and squatter upgrading could better inform upgrading processes, and

especially the ways in which rental properties are dealt with. In Baan

Mankong renters were sometimes given the opportunity to own their own

homes. However, for many, home ownership is a burden and affordable

rentals are key to survival in the city. Clearing settlements of rental

properties is reminisce of rural development approaches. Upgrading must

find a way to accommodate dynamic, fluid housing arrangements that suit

a wide range of needs.

12.4.3 A systems and morphological approach to urban displacement

Urban displacement is rapidly becoming a new challenge for

humanitarians and urban professionals to respond to. Further research

could be carried out using an adapted version of the conceptual

framework to better understand the humanitarian environment around

urban displacement and the corresponding urban design and planning

issues. For example, in December 2015, flooding in Chennai, India has

displaced more than a million people (Lyengar, 2015). Host governments

are buckling under the pressure to support waves of newly displaced

groups. The conceptual framework could be used to investigate the

vulnerabilities and capacities that result from hosting displaced persons by

interrogating the relationship between the built form and CAS. The

framework builds upon findings from the literature such as the need to

invest in access to quality services in host communities, the importance of

supporting local services rather than creating parallel ones, the benefits of

area-based programming and addressing the negative social perceptions

of the displaced population (NRC and IRC, 2014; IRC, 2014). Thus, the

conceptual framework has the potential to be used to identify dimensions

of resilience for displaced persons in urban settings.


Page 411

Conclusion

This chapter has sought to summarise the breadth and scope of the thesis.

It began by explaining how the aim and objectives were met by aligning

specific chapters with specific objectives. It then described the new

contribution to knowledge through avenues of theory by viewing

resilience from a space-based systems approach. It also explained the

analytical tool and how the identified dimensions of resilience can be

considered a new contribution to knowledge from practice because both

are tangible ways to operationalise resilience.

Evaluation of the research methodology is then presented with a

reflection on the unavailability of accurate maps for conducting research

on formal and informal settlements. A reflection on the PRA tools is also

given, suggesting the importance of knowing previous research tools used

in an area before carrying out new research.

The chapter closes with three ideas for further research. The first is

regarding the use of technology and how changes in information collection

and sharing in the past few years can impact resilience. The second

focuses on the question of how to support renters. The third focuses on

urban displacement issues and the ways in which the conceptual

framework could provide a rigorous context analysis to identify key issues

between CAS and the built form, and from there, develop appropriate

interventions. Likewise, similar research could be done on the usefulness

of the framework for informing research agendas and prioritising urban

activities for agencies working with multiple stakeholders at municipal,

national and global levels.


Page 412

Concluding statement

This research aimed to develop and validate a conceptual framework for

understanding urban disaster resilience in low-income neighbourhoods.

The study found that resilience has the potential to unite a broad

spectrum of urban actors because of its deep-rooted history and

widespread use in other disciplines, crucial in urban work. It also

concluded that at its core, resilience bridges development and disaster

paradigms and can be seen as a political argument for increasing value for

money in both development and disaster activities. Finally, it reaffirms

that resilience is about building up and improving what already exists in

order to thrive, which is a more positive concept than ‘reducing’ as is

emphasised in disaster risk reduction. Ultimately, this research

emphasised that resilience is most valuable when users of the word define

resilience for whom, and to what.

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Appendix A

Page 436

Appendices Appendix A – Key informants 1. Bang Bua Neighbourhood Key Informants

Code name Gender Age Livelihood # of family members

Date of interview

BB1 M 63 Retired 2 24 Feb 2014

BB2 F 53 Retired 2 24 Feb 2014

BB3 F 41 Unemployed 4 24 Feb 2014

BB4 M 47 Soldier 3 26 Feb 2014

BB5 F 63 Unemployed 5 27 Feb 2014

BB6 F 48 Vendor 5 27 Feb 2014

BB7 F 32 Port authority 2 27 Feb 2014

BB8 M 38 Unemployment 2 27 Feb 2014

BB9 F 63 Shop owner 2 27 Feb 2014

BB10 M 65 Shop owner 2 27 Feb 2014

BB11 F 57 Unemployed - 28 Feb 2014

BB12 F 49 - 4 28 Feb 2014

BB13 M 70 Retired 4 28 Feb 2014

BB14 F 67 Retired 2 28 Feb 2014

BB15 M 41 Shop owner 5 28 Feb 2014

BB16 M 36 Unemployed - 28 Feb 2014

BB17 M 45 - - 28 Feb 2014

BB18 F 51 Daily wage earner

9 28 Feb 2014

BB19 F 42 Daily wage earner

9 28 Feb 2014

BB20 F 38 Teacher 3 23 Mar 2014

Appendix A

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2. Saphan Mai Neighbourhood Key Informants


Date of interview

SM1 F 54 Beautician 4 6 Mar 2014

SM2 F 48 Manicurist 6 6 Mar 2014

SM3 F 71 Retired 5 6 Mar 2014

SM4 F 73 Vendor 5 6 Mar 2014

SM5 F 24 Hair dresser - 6 Mar 2014

SM6 F 33 Shop owner 5 6 Mar 2014


SM8 F 60 - 2 7 Mar 2014

SM9 M 63 - 2 7 Mar 2014

SM10 F 65 Unknown 5 8 Mar 2014

SM11 F 70 Massage therapist

- 8 Mar 2014

SM12 F 52 Labourer 10 8 Mar 2014

SM13 F 20 Mother - 8 Mar 2014

SM14 F 44 Unknown 3 8 Mar 2014



SM17 M 70 Security - 8 Mar 2014

SM18 M 65 Ex-soldier 1 8 Mar 2014

SM19 F 20 Student 4 9 Mar 2014

SM20 M 18 Unemployed 4 9 Mar 2014

SM21 M 18 Unemployed 3 9 Mar 2014

SM22 M 60 Shop owner 7 9 Mar 2014



SM25 F 40 Lawyer 1 9 Mar 2014

SM26 F 44 Teacher 3 10 Mar 2014

SM27 M 43 Moto taxi - 10 Mar 2014



SM30 M 47 Mototaxi - 10 Mar 2014

SM31 M 34 Monk - 13 Mar 2014

SM32 M 42 Monk - 13 Mar 2014

SM33 M 70 Monk - 13 Mar 2014

SM34 F 66 Labourer - 13 Mar 2014

SM35 M 44 Labourer - 13 Mar 2014

SM36 M 21 Solider - 13 Mar 2014

SM37 M 65 Ticket taker - 13 Mar 2014

Appendix A

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3. Roi Krong Neighbourhood Key Informants


Date of interview

RK1 F 54 Retired 7 18 Mar 2014

RK2 F 74 Vendor 3 18 Mar 2014

RK3 F 15 Unemployed 9 18 Mar 2014

RK4 M 14 Unemployed 5 18 Mar 2014



RK7 F 74 Shop owner 3 18 Mar 2014

RK8 M 52 Factory 5 18 Mar 2014

RK9 F 30 Restaurant 10 18 Mar 2014

RK10 F 30 Restaurant 10 18 Mar 2014

RK11 F 52 Restaurant - 18 Mar 2014

RK12 F 57 Shop owner 5 19 Mar 2014

RK13 F 60 Hairdresser 2 19 Mar 2014

RK14 F 60+ Garbage collector

- 19 Mar 2014

RK15 F 50 Housecleaner 2 19 Mar 2014

RK16 F 50 Garbage collector

- 19 Mar 2014

RK17 F 55 Landlord - 19 Mar 2014

RK18 M 60 Gardner 2 19 Mar 2014

RK19 M 40 Unemployed - 19 Mar 2014

RK20 M 40 Solider 4 22 Mar 2014


RK22 M 80 Shop keeper 2 22 Mar 2014

RK23 M 85 Retired - 22 Mar 2014

RK24 F 37 Factory 10 22 Mar 2014

RK25 M 60 Shop keeper 5 22 Mar 2014

RK26 F 60 Retired 2 22 Mar 2014

RK27 F 60 Upgrading leader

- 17 Mar 2014

RK28 M 50 - - 19 Mar 2014

RK29 M 88 Retired 4 21 Mar 2014

RK30 M 77 Landlord 1 21 Mar 2014

RK31 M 65 Retired 4 21 Mar 2014

RK32 F 59 Landlord 2 21 Mar 2014

RK33 M 50 Company 4 21 Mar 2014


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4. Other Key Informants Please note: names have been withheld to preserve anonymity. Where necessary, the title of the position of the person interviewed has also be withheld.

Code Gender Organisation Position Name Date

KI1 M UNESCO Programme Officer

Name withheld 23 Feb 2014

KI2 M Ministry of Interior (Office of Climate change convention, Department of Town and Country Planning and Public works)

Architect Name withheld 18 Mar 2014

KI3 F Asian Coalition for Housing Rights (ACHR)

Senior development worker


KI4 BMA Department of City Planning

Urban planner Name withheld 19 Mar 2014

KI5 M King Mongkut’s Institute of Technology

Professor Name withheld 22 Feb 2014

KI6 M Bangkok Metropolitan Administration, (BMA), Department of Water Drainage, Flood Control Center

Staff member Name withheld 18 Mar 2014

RK7 F CODI Development worker

Name withheld 25 Mar 2014

KI8 M Institute for Social and Environmental Transition (ISET)

Scientist Name withheld 24 Feb 2014

KI9 M Deutsche Presse-Agentur

Journalist Name withheld 21 Feb 2014

KI10 M Chulalongkorn University

Masters student Name withheld 24 Feb 2014

KI11 F BMA Department of City Planning

Urban Planner Name withheld 20 Mar 2014

KI12 F St. Louis College Professor Name withheld 18 Mar 2014

KI13 M Domnern Somgiat &

Lawyer Name withheld 18 Mar 2014

Appendix A

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Boonma Law Office

KI14 F CODI Community development worker


KI15 F Lak Si District Community Development Worker


KI16 M Lak Si District Urban Planner Name withheld 10 Mar 2014

KI17 F World Vision Thailand

Position withheld


KI18 F World Vision Thailand

Position withheld


KI19 F ADPC Position withheld


KI20 M ADPC Position withheld


KI21 F ADPC Position withheld


KI22 M Architects & Associates Co., Ltd.

Architect Name withheld 18 Mar 2014

KI23 M Habitat for Humanity Thailand

Position withheld


KI24 M World Vision East and South Asia

Position withheld


KI25 M World Vision East Asia

Position withheld


KI26 F World Vision International

Position withheld

Name withheld 26 May 2014

KI27 F UNESCAP Sustainable Urban Development Section


KI28 M World Vision Indonesia

Position withheld


KI29 F Aga Khan Foundation

Position withheld


KI30 M Sripathum University

Professor, Name withheld 20 Mar 2014

KI31 F Kasetsart University

Position withheld


KI32 M Cura Kai neighbourhood

Position withheld


KI33 M Bang Bua Neighbourhood

Position withheld


KI34 M Saphan Mai Neighbourhood

Position withheld


KI35 M Roi Krong Position Name withheld 19 Mar

Appendix A

Page 441

*Four key informants were included in the neighbourhood list and in the non-neighbourhood resi

dents list in order to protect their identity.

Neighbourhood withheld 2014

KI36 F Roi Krong Neighbourhood

Position withheld


KI37 M Lak Si District Authority

Position withheld


KI38 F Bang Khen District Authority

Position withheld


KI39 M Central government planning department

Position withheld


KI40 F World Bank

Position withheld


KI41 M World Bank

Position withheld


KI42 M World Bank

Position withheld


KI43 M World Bank

Position withheld


KI44 F

OCHA Position withheld


KI45

F

Save the Children Thailand

Position withheld


KI46 F Plan Thailand Position withheld


KI47 F Plan Asia Regional Office

Position withheld


KI48 M CODI Position withheld


KI50 F ALNAP Position withheld


Appendix B

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Appendix B – Key informant interview questions

The following questions were selected for use in semi-structured interviews.

1. Neighbourhood Key Informant Interviews Questions

1. How many people live in your family? Adults? Children? Gender? 2. What is your main job? Do you have another / second job? 3. Do you rely on the natural environment? 4. How much do you spend on food every month? School per year?

House expenses/rental? 5. What skills and talents do your friends say you have? 6. Technology. Do you use the Internet? Radio? TV? Ipad? Use a smart

phone or a regular phone? 7. What kind of things could cause a problem in your house / community?

(Hazards) 8. Coping strategies. How did your life change after the flood – jobs, food,

medical care. How did you cope? Did other people in your house change their behaviour?

9. Humanitarian assistance. What did you receive during the flood? What would you like to have received?

10. What were the top three challenges you faced during the flood?

Appendix B

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2. Non-Neighbourhood Key Informant Interview Questions

a) I/NGOs b) UN agencies c) Journalists d) Researchers / Academics e) Government

a.) I/NGOs

1. Define resilience, aspects of resilience. What makes urban resilience different?

2. What vulnerabilities within Bangkok were revealed by the floods? 3. (Human) How were specialist and generalist skills put to use in the

community (?)? - What locally available skills did you use in your interventions? 4. (Social) How did you take advantage of social networks? i.e. in what

way did they become a programming opportunity? 5. (Physical) What physical infrastructure did you prioritise in your

resilience interventions? Why? What might you have included in hindsight?

- How did you assist renters? Were they a different group than other community members? If so, in what ways?

- How did you negotiate land issues? - How did urban planning factor in your response strategy? 6. Financial - Was cash programming used, and how well did it address the needs of

the urban poor? - Were you able to build on public-private partnerships? If so, how? - How was the market impacted by aid delivery? Was aid sourced

locally? - Were local markets and private sector initiatives fully supported?

What more could have been done? 7. (Natural) How were natural assets protected? What does urban DRR

look like in this context? 8. (Political) What was the role of local authorities? What challenges did

they face? How could they be better supported? - what community power structures did you deal with, if any (eg gangs, local leaders, other groups)

9. (Technological) How was technology used, eg ? What opportunities and challenges did it create?

10. Programme boundaries – when / how did you decide to leave / finish up? When does disaster recovery become development work?

- would you have stayed if you could have? - To what degree do you think you contributed to greater resilience?

Please explain. 11. What tools did you use? Were they appropriate? Or, did you re-design

them for use in an urban context? 12. How has your organisation adapted to urban issues / urbanisation?

What particular ‘urban challenges’ have you encountered? What did you do?

13. How can we plan better for the next disaster? Who holds the power in

Appendix B

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b.) UN Agencies

c.) Journalists / academics / researchers

1. What key institutions hold responsibility for flood prevention and recovery? How did they preform? Who is not involved but should be?

2. What kind of public-private partnerships exist? How did they perform? 3. What sort of short-term measures bring about resilience in low-income

neighbourhoods? 4. How would you define resilience in low-income neighbourhoods? Is it a

useful concept? 5. What policies need to be prioritised most urgently? What is the role of

policy in resilience? 6. What is the greatest barrier to building resilience? How should this be

overcome? 7. What kinds of private-public partnerships occurred during the floods?

1. What are some of the positive and negative aspects of the

government’s response to the 2011 floods? How was the municipal government perceived?

2. What aspect of the floods seemed to get most coverage? 3. How were low-income neighbourhoods covered in the media? What

would motivate coverage of places like Bang Bua Canal and Rattanakosin?

4. What vulnerabilities and capacities did the flood uncover? 5. Did the flood response play a role in fueling the current political

situation? 6. What role did technology play? 7. What agencies / institutions had the loudest voice? Which ones

achieved the most? 8. How can Bangkok be better prepared for future floods? 9. Are there examples in your mind of people being stronger after the

floods? 10. How will the state of emergency effect my research? What cautions

should I take? 11. Is resilience a term that offers opportunity? Or, would you describe it

as a buzzword?

Appendix B

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d.) Government

e.) Planners – how does planning help or hind resilience building in communities

1. What prevention measures were taken before the floods occurred? 2. What does the current flood plan look like? Who helped develop it? 3. How was flood information shared with the public? Through what

channels? 4. How did you link with the NDMA? 5. What revisions to the plan have occurred as a result of the 2010-2011

floods? What lessons were learned? 6. Who are the most vulnerable people to the floods, and how does your

plan account for them? 7. What types of assistance did the government provide? Was cash a

favoured method? What are the risks associated with cash? 8. What does resilience look like to you? What are the key elements?

1. How do you engage with NGOs? 2. What do you understand by resilience? Is it a helpful concept? If so,

how? 3. How did you engage in the floods? What was your role? What did you

do? 4. How do your activities build resilience? 5. How do you work with communities? 6. If there were no constraints to your work, what would you do? 7. What is the role of planning in building resilience? 8. What are the major barriers to community resilience, please explain? 9. In your view what do you think could be done better? 10. Does the private sector have a role? If so, how? 11. What are the best examples you’ve seen of flood resilience? Why? 12. What are the major challenges? Why? 13. What will happen differently for the next floods? 14. How effective is master planning for building resilience? Please explain.

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f.) Businesses

1. What role can businesses play in disaster prevention and response? 2. What was your role in the flood? 3. How did you prepare? 4. Who did you assist? 5. How did you decide who and how to assist? 6. What do you plan to do next time?

Appendix C

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Appendix C – Sample of interview transcripts

Sample 1: A Transcript of a Key Informant Interview

Timespan

Content

Key informant interview Name: (anonymous) Organisation: King Mongkut’s Institute of Technology Position: Professor

0:00.0 - 0:55.7

Professor: Social vulnerability sometimes lacks the ecosystem perspective, to me that depends because social vulnerability is also rooted in political ecology, which looks a lot at human and environmental interaction.

0:55.7 - 1:07.2

Pam: What does resilience mean to you?

1:07.2 - 5:10.9

Professor: We as academics are in the process to define it. We don't have a direct translated word for resilience. What I usually talk to community. I used to talk about immunity. Immunity to changes, crises, disasters. I think that captures the simple concept that the community can understand. It's helpful in academia to investigate it thoroughly. To get this concept to the community, I may not focus on this word or it's meaning but more into the elements and the process within this concept and the kind of goals we would like to achieve from the concept. For academic sector, I think it's like a brain exercise to look into fuzzy concepts to compare and contrast to see how different disciplines or stakeholders view this concept. Different disciplines from different epsistomology. It's insightful but I'm also worried. The words such as sustainability, vulnerability and resilience start to be used in many ways and it can lose it's meaning. Everyone's doing work on resilience.

5:10.9 - 5:14.1

Pam: Is disaster resilience different?

5:14.0 - 5:58.1

Professor: I think it provides more focus. Resilience alone, from my understanding, includes any kind of changes. Those changes may not be disasters.

5:58.1 - 6:33.7

Pam: What kind of vulnerability was revealed by the floods?

6:33.7 - 11:27.8

Professor: I have limited experience with the Bangkok floods but I can share some things I recently discussed with community leaders from some of my limited experience in Bangkok. There's an observation from

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community leaders and local authorities who work in providing aid to flood victims, which seems that the typical vulnerable people may not fully represented in Bangkok. For example, in Lai Krabang area there are groups that rely on agriculture and other groups that seem like typical urban dwellers who have jobs in town but their residences are here in compact structures like apartments. The observation from those aid supporters reflect that those who seem to be urban dwellers need demand more than those in agricultural sector. If you like we may say that those in agricultural sector, seem to have a certain character of rural lifestyle, way of life. They seem to be able to be independent, those in agricultural sector. There's another big question about rural and urban. We are still in Bangkok but we have an agricultural sector area. The livestock from my perspective, seem to have some characteristics of rural people. Most of them are people who live here for a long time, their parents and ancestors live here. They know the area, know the area is a flood plane. They have a certain experience of adaptation compared to the new comers who want an urban lifestyle, are familiar with typical urban life. From what I heard is that they have less tolerance to floods.

11:27.8 - 11:50.0

Pam: Do you mean that people living in urban areas demanded a higher quality of life and therefore demanded more aid?

11:50.0 - 15:11.3

Professor: No. I think the term higher quality or standard is also difficult. Sometimes I didn't see much as higher or lower, but different. Different ways of living. A typical example is the ones who are in agricultural sector, their residential space provides them some tolerance to floods, like houses on stilts. They have different levels. They can adapt through the changes of water level. If it gets higher they move to higher level or move their stuff to the higher level. They know how to cook, survive, sleep, travel. Some of them still have boats and they know how to operate them. Many of them told me that they closely monitor water from the north and they prepare for that ahead. What he referred to at that point was that the flood for 2010 they prepared for the incoming flood to protect their assets. They have really large fish farms. They even built up dykes before the coming floods. For some people they may have some kind of stereotype that agricultural people are poor. That might not be the case. Many are well off and have some financial power to put up some prevention.

15:11.3 - 15:21.0

Pam: What did the floods reveal about Bangkok in terms of preparedness and its ability to respond and recover?

15:21.0 - 19:04.8

Professor: I would say that it revealed ... what we observed in our studies that right now, each sector... the efforts in responding to floods mostly based on individual practice. For example, the industrial estate would like to protect their property so they put up walls and dykes to

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protect their property. Some households also built up walls to prevent their house from flooding, some will elevate their house and change the landscape of their house so water would not collect in their house. Our question is when each individual is doing this kind of thing, where will the water go? How about the collective perspective, which seems to me I didn't see much of that even though there's a huge project trying to do a macro level project but it's... you may of heard the news but it got very low level of participation and is still in a lot of conflict. What surprised me a lot is that they proposed for a large amount of loans even before they had a plan. I heard that some projects are still moving on. The court ordered the project owner to have higher level of participation, that's what I heard.

19:04.8 - 19:19.2

Pam: Was there a flood plan in place during the 2011 floods?

19:19.2 - 19:56.4

Professor: I think that's the issue because the information at those days was pretty confused. Information given by the government and other. I think the government was also not very clear on the information so there were other sectors that tried to provide alternative information as well.

19:56.4 - 19:57.6

Pam: If I lived in Bangkok and was worried that my neighbourhood was going to flood, where would I go for information?

19:57.5 - 23:06.1

Professor: From my experience during those days we stayed pretty close with media, news - different sources. The government also came up with a vision about where the water would go, their plans. It was a long process and it changed everyday. There was a group called ... volunteers from academic, private sector to model the flood and allow Bangkok residents to give a call to get the information whether their house or neighbourhood was going to get flooded. From my perspective this was very helpful to prepare. I have a friend, he volunteered to work in that group for some sections. I may be able to put you in cotact with him and he may be able to direct you to the key actors. He's working in the ministry of environment resources etc. Maybe he's also in the team that worked on the community development plan.

23:06.1 - 24:13.1

Pam: In the city land ownership is complex. How do we adapt our tools and techniques to be more suitable to the city? What are some of the social challenges in the city i.e. gangs and their networks?

24:13.1 - 27:12.3

Professor: In Bangkok and many other developing countries there are a lot of informal sectors, which usually are not officially supported. Most of the aid from the government supports official residents and communities who are officially registered in their data base. Those who are not registered, I think it's a big challenge. It will reply on, I would say, informal power structures, which also are a challenge to gauge. This is

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also where political factors come in. I've heard from some aid workers that those aid become political tools as well. That some politicians take it as a tool to gain votes and popularity. It influences how these aids are distributed. The down part is that I was not part of the aid distribution so I don't have experience at hand.

27:12.3 - 27:32.3

Pam: Based on the political situation, is there a specific group that was more successful at getting aid?

27:32.2 - 31:43.0

Professor: yes, that's what I heard. It was the group that had power at that moment. It depends on which group is in power and has access to resources. Then it goes through their networks, I would say. I think you should open up to the broader network they may have. For example, the communities around here have many kinds of connections and networks, which are pretty interesting. I think to review the texture and fabric of networks and connections would be insightful. Of course, one of the networks will be linked to political parties. I heard that sometimes they have power even to channel the aid. This is the story we heard: There were two groups that needed aid. They went to one group to support and they were going to go to another group, and this group is a large political base for one politician. When the truck was about to leave this road to another group, the pump was out of work and then the floods get in. So that truck was ordered to stop going to this group to provide resources. That's what we heard. From my experience, not in Bangkok, but in the south, within the communities there could be divisions. Even to have political affiliation at the community level means a lot. For example, those who acquire the network of community leaders may have better access to resources.

31:43.0 - 32:54.3

Professor: I used to work with an NGO. I was there to explore green design and other environmetnal designs. The mission of the organisation was much broader, looking at alternative ways to life. They are more into anti-capitalism.

32:54.3 - 33:41.3

Pam: What about cash? Was it used? What are the risks and successes?

33:41.3 - 37:18.7

Professor: Yes it was used on the floods. The risks are issues of transparency. For example, my brother's house was flooded in an area that was supposed to get compensation but he's well off and didn't need that. Later he found out that someone already took the money on his behalf. We don't know who. I'm not sure about Bangkok but in other provincial floods I heard that it can be a political tool to or strategy to gain votes. This is what I've heard from those involved in aid distribution. But I also met the households who received the money and used it for future household flood prevention. They built a tall wall. I'm not sure building walls is the right thing to do but at least they used it for prevention. I've gotten great complaints from the community that aid

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from the government is very slow and isn't appropriate, gender or culture wise, it might not match with the needs of the people down there. I think it's a flexible kind of resource that can transfer. It's still very complex.

37:18.7 - 37:28.9

Pam: What about technology?

37:28.9 - 44:21.3

Professor: I think the modeling technology is really helpful to get information for people to prepare. One is from the macro level, the group that I mentioned. The micro level in this area, we had just a group of our faculty from engineering who do a kind of monitoring study to be able to provide information to communities around here to prepare. The response from the community is very good. As long as they know ahead what will happen, they can prepare. They use these different kinds of technologies to monitor these floods. They call it Lad Krabang model. We've got both technology from the campus and the communities to monitor the flood level. We calculate and model and provide projections to the communities. Again, I think information is critical. Many of the communities lose trust to the government information. Trust to the government is another key point. You can create a lot of our phenomena. You may have heard during the floods that even water is difficult to find in the department store because some people are so panicked that they bought such large amounts of water bottles that it became unavailable duing those stage. Some people blame these people for being too panicked but I myself understand them because there is no precise information for them. The government says this and then many times it's not as they said. If they said you are safe, but then you are not safe. As you is a typical word that the Prime Minister usually said. It implies that we can deal with it. We can manage the floods, we can control the floods but in many cases we can't. I think I'm not surprised if people start to doubt what the government says. Most of the time is said calm down, we are okay. When we show evidence that we are not okay we wonder to what level we should take information from the government. If the government said that we are at risk in this level perhaps it could be in this level. We got a sense that the information was tamed down. When we hear something we need to start to add it up. Also there's alternate sector who provides this information as counter balance to what was said. We had many sources of information and no one could tell which information was better than the other. Then there was trust in this information. People would save their own as best they can and it came back to the individual efforts. I think it's very interesting to compare what happened in Bangkok to what happened in Japan to the earthquake and tsunami and nuclear plants. I think for Japanese they have a certain trust in their government and discipline to stay in order. Here to me it's a bit chaos. It seems to be that a lot of people who live in Bangkok find it easy to get a sense of survival, to do what ever they can

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do to survive like to get as much water bottles as they can.

44:21.3 - 44:36.2

Pam: Is Bangkok ready for another large-scale flood?

44:36.2 - 49:40.7

Professor: I don't know all the preparation Bangkok did, and the whole country but it seems to me no. Looking at it from a very small scale there is a programme to increase the capacity of the canal to have a better flow. But I heard from the communities that it's just a programme that the outcome is not what we expected. For example, some informants said that you may see the machine floating on the canal try to dig the mud of the canal but if the canal drops you see holes in the canals, which means that those digs occurred sparsely. It's not really levelled down to increase the capacity. No one knows what happens below the canal. One resident said that he needed to do a favour to the workers to ask them to really do the job in front of his house because he really needed to get it done. Looking at broader scale we so far see a lot of expansion of urbanised area into flood plains and wetlands. In the plan you have a plan to preserve as a green area that water can then go through. The plan sometimes has been shifted like with Subanaphomi airport. It was directly in the bottom of the flood way. Have you seen the land use plan of Bangkok? That's legally done. There are others that may not comply with the plans. I still see a lot of new developments on flood plains. In the plan they try to keep some flood plain that in real life is not really kept. More development is going on there.

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A sample of the notes taken to correspond with the interview transcript above

Appendix D – Focus group discussions

Focus Group Discussions

Code name Type # of people Date

BBFGD1 Focus Group Discussion 18 21 Feb 2014

BBFGD2 Focus Group Discussion 13 2 Mar 2014

BBFDG3 Focus Group Discussion 13 10 Aug 2014


SMFDG1 Focus Group Discussion 8 10 Aug 2014


RKFDG1 Focus Group Discussion 12 10 Aug 2014

Sample 1: Questions for FDGs


FGD1 World Bank Focus Group Discussion

4 25 Feb 2014

FDG2 CODI Focus Group Discussion

3 25 Feb 2014

1. How did you prepare for the floods? What actions did you take? 2. What were the resources available to the neighbourhood and were

they utilised? 3. Who is responsible for disaster coordination? 4. What forms of assistance were offered in this neighbourhood and how

were they shared? 5. What form of assistance helped you the most? Why? 6. What were some of the ways information about the floods and flood

assistance reached people in this neighbourhood? What was the most effective method?

7. What kind of technology did you use to communicate about the flood? What was the most preferred method?

8. What was your top priority when the water receded? 9. Were you able to continue doing your job? How? 10. If you were to focus on changing one thing that would offer the most

stability and safety to your life right now, what would it be? 11. Are there policies you would change that would help you prevent

future floods? 12. What basic functions were maintained during the floods? (i.e. access to

school, access to jobs, health clinics, water, power, electricity etc.)

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Sample 2: Key Findings used for validation on 10 Aug 2014 in Bang Bua, Saphan Mai and Roi Krong Neighbourhoods

Physical Infrastructure (Environment, urban form, infrastructure and services)

Political Infrastructure (Civil society, government)

Economic Infrastructure (Jobs, loans, money)

Social Infrastructure (Social capital, power, leadership and decision-making)

Technical Infrastructure (Information Communication Technology - ICT)

1. Identity: My neighbourhood is … (fill in the blank) 2. Children have more protection with the new public space for them to play in. 3. Public buildings and community infrastructure unites residents and offers a sense of rootedness and belonging due to the permanent nature of the buildings.

The physical re-organisation of the neighbourhood resulted in a place that was more transparent, more accountable, trusted and inclusive.

2. Participation is key to building trust and communication in “peace” times (i.e. through mechanisms such as savings clubs, celebrations and events), and is the foundation for an effective community response.

3. During the flood, the way in which items were distributed and decisions made in my neighbourhood was transparent.

1. I needed access to a small loan after the floods in order to get back to work again.

1. People who fall out of favour with the community or are illegal have less protection. The community is not incentivized to protect people who break away from communal value systems. 2. People on the edge are excluded from help. 3. Evacuation centres hosted the most vulnerable, including: A. the elderly, sick, young children and differently abled persons; those who did not have relatives or friends they could stay with. C. Families with a one story home. 4. People in my neighbourhood know what to do to prepare for the next big flood.

1. The most reliable, accurate information comes from my community leader and people in the committee.

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Sample 3: Transcript of a focus group discussion

Timespan

Content

0:00.0 - 0:08.7

Key informant interview Name: (anonymous) Organisation: World Bank Position: Community development workers

0:08.7 - 0:55.9

Pam: What is the project you are working on now?

0:55.9 - 5:17.1

WB: This is the project that got support from the world bank funded by the Japanese government. The project was run 2-3 years ago. The team surveyed the affected area. We haven't yet started the programme. The target is to support the flood affected people, the urban poor and those who are ready with the system, like strengthen community. This programme is not focused on building construction. We are looking to strengthen community capacity. It's staring now. We had to make an operation manual, CODI will be the main organisation who gets the money. We call this programme the Livelihood Support for the Urban Poor. It's funded by the World Bank but implemented by CODI. Finally they agree that they are going to support five provinces in Thailand, about 3,000 households in about ten communities per province.

5:17.1 - 6:47.3

Pam: What is the word used in Thailand by Thai people instead of resilience and what kind of concepts are in there?

6:47.3 - 12:23.5

WB: It means flexible. We don't have this word in Thai. Fuen foo. We use that word. Like a recovery. After a disaster we use many words but usually fuen foo. It might not be recover better because some people after the floods might go back to their home town or cannot stay in the same place so you can't use fuen foo in their case. The situation that has been destroyed or collapsed from the normal life and people try to recover it back to the same position. I work in tsunami and I never see this word. It must mean recovery or reconstruction after disaster.

12:23.5 - 12:47.2

WB: I think from the dictionary it says flexible.

14:09.4 - 15:08.4

Pam: What kind of vulnerabilities were revealed by the Bangkok floods? In Bang Bua if you can or in Bangkok more generally.

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15:08.4 - 21:39.7

WB: the urban people who are depending on the food, water etc. mainly the people who spend money to buy the products because they cannot produce it themselves. The main problem at that time. The dirty water leaked out into the drinking water supply. It means that the people who depend on the main infrastructure of the city are the main ones affected because the road is blocked and no one can send the food from the rural area, not even eggs or vegetables. This really affected people in Bangkok. The second is the urban poor group who are the people who are working day by day. Earning money for each day to survive. Like a street vendor who has to sell food to earn money. Those people are the most affected because they couldn't go out for work and there was little opportunity to go out and find money. This contrasts with the middle class who are working in the office or have monthly income. They are not affected much. They might go to other provinces and work from the Internet. He mentioned the same point that the low income group that earns daily wages are the most affected.

21:39.7 - 21:56.2

Pam: What is the World Bank proposing to do in Bang Bua with this project?

21:56.2 - 25:27.8

WB: for this programme it might not be clear yet but up until now our process is selecting the target area and it is not decided yet if Bang Bua will be one of the communities. Pam: Will disaster preparedness factor in your programmes? WB: Yes, the flooding will come every year. This programme is adaptation and ? We try to protect and recover the affected area. The process is to select the area then design the project.

25:27.8 - 25:42.9

Pam: How do you do urban disaster preparedness?

25:42.9 - 32:23.0

WB: Facebook. The urban poor are using Facebook. The quickest way to get real time information is from Facebook. The information from the government may not be real. Pam: Who do you believe when you read facebook. WB: During the floods...it was the fastest way to update information. Not only the general people used this application. The celebrities and famous reporters used it. When they went to the area they easily update the situation. When they went to

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distribute the life savings kit they mainly go to the community area, not to the people who live in the condos or big houses. The possibility to update info about when and where they are going to start giving food was possible. The volunteer group formed a group and opened a page. People interested joined. They could give if they wanted. This is the group from CODI so they already have a connection with the community leader. It's easier for them to have a call and manage how to distribute to each area. The people in the community, teenagers in the poor communities also use Facebook. For 2,000-3,000 it's possible to buy a phone that can access Facebook. It's possible to show you some FB of the community leader.

32:23.0 - 32:38.1

Pam: What lessons have we learned from the Bangkok floods?

32:38.1 - 42:37.7

WB: It's obvious that the case of the flooding shows the lack of management between the government and the needs of the people. For example, the life savings bag, every bag is the same with sardines in the can, instant noodles. The people who are in that area have to survive with that kind of food for more than a month. Sometimes it's possible to change... they think this is the way to deal with the problem. But if they had a better management system we can adapt those affected people in the same table with a more proper plan to help them. It would be better. The case of the food is just the example. Pam: Do you mean that the government has to speak or interact more with the community and together they should make a plan? WB: Yes. It's easier to contribute but something might not fit with the needs of the receiver. It's easier to give things but those things might not be the things people need. In Thailand we have a variety of food, our areas can produce a lot of food. In this case the bag from the helpers gave the same thing all over the affected area. It show they are not improve in the negotiation, plan. People have to think more and distribute better variety of food. And not only food. Use local products and let the local people be the main actors to do this kind of thing because the central government is central to deal with the central problems but if you see another side the local government / people it's possible to run and manage this kind of thing by itself, ie. set up a kitchen for the whole area. Have you seen the news that the Don Muang is the government place to store dry goods for people all over the country but it was flooded. The other important thing is that Bang Bua is very

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close to Don Muang, yet the things from the Don Muang didn't get sent to Bang Bua.

42:37.6 - 54:20.4

Pam: So lesson 1 is better coordination with the community, right? 2. Locally driven response. Meaning the planning, food distribution etc. should happen at the local level with some support from the government. According to the Thai policy, the disaster has to happen first and then the money distributed. In this case I have experience from Nakonsawan. The info came from the mayor. I.e. you have to see the water before you can distribute the sand bags. This is quite a big issue. A ministerial issue. The way to solve this is to let the local people and authorities deal with this problem by themselves. Pam: So what if we change the policy to release money before the water comes. Is that good? WB: the plan is okay. Disbursement is the problem. So cities disperse the money before the disaster happens. The have been cities to go to court over that case to get the money back. In terms of Bangkok it's possible to disperse the money and solve the problem by themselves because Bangkok has the money. In Bangkok we have the BEST which is a team to prevent the flood situation. There is a team to control and plan the opening and closing of the canal in Bangkok for each canal. City development funds help CDF is a fund that helps communities in disaster preparedness. They used the money in the flood situation to cook the food, buy some boats.

54:20.4 - 54:45.2

Pam: How do urban planners work together with NGOs? Or should they?

54:45.2 - 59:52.9

WB: It has a network to deal with disasters. With many people from the community side and from the government side and the media to work together to deal with the flood as a forum. They can have a TV programme to raise discuss the problems on the TV show. That TV programme has been started with the flood and it has continued up until now. After the discussion from the TV show is it possible to implement? After the floods finished the situation was not a hot issue any more so there are no plans. TV show is called Early Warning. (Thuen Pie). or Alert / Warning. (No urban planners in the room.) We are community development workers. One is finance.

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59:52.9 - 1:00:09.3

Pam: If you could change anything or do anything next time there is a flood, what would you change?

1:00:09.3 - 1:14:47.2

WB: We always have two ways to support, one from the government and one from the volunteers. In terms of the volunteers it's faster and you can do more than the government. Poeople can directly go to the affected people. The flood in the rural areas they needed water. In Bangkok the houses flooded so it requires a plan. They should have a plan to protect from flooding in Bangkok. Two problems is that there was too much water and sea level rise. The real problem is the bad management and releasing water from the damn. WB: I work on the CDF and I see those funds really help people when there is a disaster. *** Need to follow up with Om on this.

Appendix C

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A sample of the notes taken during the FGD

urban disaster resilience_phd_psitko

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